Nesbitt Burns Securities Limited U.S. Disclosures

Nesbitt Burns Securities Ltd. – U.S. Disclosures

ID7643 - NBSL ADV 2A Brochure

ID3249 Client Relationship Summary Form 

ID3848 Best Interest Disclosure

NBSL - Rule 606 disclosure report Q1 2024 - PDF

NBSL - Rule 606 disclosure report Q1 2024 - XLS

NBSL - Rule 606 disclosure report Q4 2023 - XML

NSBL - Rule 606 disclsoure report Q4 2023 - PDF

NBSL - Rule 606 disclosure report Q3 2023 - XML

NBSL - Rule 606 disclosure report Q3 2023 - PDF

NBSL - Rule 606 disclosure report Q2 2023 - PDF

NBSL - Rule 606 disclosure report Q2 2023 - XML

NBSL - Rule 606 disclosure report Q1 2023 - PDF - 996KB

NBSL - Rule 606 disclosure report Q1 2023 - XML 80KB

NBSL - Rule 606 disclosure report Q4 2022 - PDF - 91KB

NBSL - Rule 606 disclosure report Q4 2022 - XML - 72KB

NBSL - Rule 606 disclosure report Q3 2022 - PDF - 93 KB 

NBSL - Rule 606 disclosure report Q3 2022 - XML - 76 KB

NBSL - Rule 606 disclosure report Q2 2022 - PDF - 1MB 

NBSL - Rule 606 disclosure report Q2 2022 - XML - 80KB

NBSL - Rule 606 disclosure report Q1 2022 - PDF - 1 MB 

NBSL - Rule 606 disclosure report Q1 2022 - XML - 81 KB

NBSL - Rule 606 disclosure report Q4 2021 - PDF - 225 KB 

NBSL - Rule 606 disclosure report Q4 2021 - XML - 80 KB

NBSL - Rule 606 disclosure report Q3 2021 - PDF - 1 MB 

NBSL - Rule 606 disclosure report Q3 2021 - XML - 80 KB

NBSL - Rule 606 disclosure report Q2 2021 - PDF - 1 MB 

NBSL - Rule 606 disclosure report Q2 2021 - XML - 76 KB

Nesbitt Burns Securities Ltd. – Canadian Disclosures

ID7543 BMO Nesbitt Burns Securities Limited Relationship Disclosure 

ID7544 BMO Nesbitt Burns Securities Conflicts of Interest Statement 

Pursuant to SEC Rule 606, BMO Nesbitt Burns Securities Ltd. ("NBSL") publishes, as applicable, routing statistics for its customers’ non-directed orders in U.S. exchange-listed equity securities (“NMS Securities”) which it sends to various market centers for execution. These reports provide information regarding the principal routing venues NBSL utilizes for non-directed customer orders for the relevant quarter.

For each section, each report identifies the venues most often selected by NBSL, sets forth the percentage of various types of orders routed to the venues, and if applicable, discusses the material aspects of NBSL's relationship with the venues.  Please note that NBSL does not receive any payment for order flow from execution venues and does not have any materials aspects to disclose pursuant to rule 606(a)(1)(iv).

Consistent with the requirements of Rule 606, the statistics provided in each report do not capture all of NBSL’s order flow. This report provides an overview of NBSL’s order routing practices. The information and data provided in the reports is not intended to and do not reflect all factors relevant to an analysis of a broker-dealer’s best execution and order routing practices. In accordance with SEC Rule 606, upon written request, NBSL will disclose to customers the identity of the venue to which that customer’s orders were routed for execution, whether the orders were directed or non-directed, and the time of the executions, if any, that resulted from such orders from the previous six months.

Nesbitt Burns Securities Ltd. is a registered investment adviser with the U.S. Securities and Exchange Commission and the Ontario Securities Commission, and a broker-dealer registered with FINRA. Member FINRA/SIPC.  NBSL is also registered as an investment adviser with certain Canadian provinces and territories.