CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD Number: 7449 • Quarter: 2026Q2 • Generated: Wed, 07 Oct 2026 07:59:16 GMT

Methodology: exq-2

Status: CLOSED QUARTER

Resolved Rule 606 Source Filings

Author / Clearing Firm	CRD	Variant / Context	Version	SHA-256 Digest	Source Document
CANACCORD GENUITY WEALTH MGMT	7449	Direct	V1	607c72aba672d5f36e57a3e5e081acb8df9c9bcf1ec8374f1f868029404b2219	Download XML ↗

1. SEC Rule 606(a)(1) Order Routing

Quarterly non-directed customer order routing shares and net PFOF/rebates by section and venue.

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Month	Section	Execution Venue	605 Reporter	Route %	Market %	Mkt Limit %	Non-Mkt %
202604	options	CITADEL SECURITIES LLC (CDRG)	CDRG	33.3%	0.0%	0.0%	33.3%
202604	options	WOLVERINE EXECUTION SERV, LLC (WEXX)	Unmapped	66.7%	0.0%	0.0%	66.7%
202604	other_stocks	CITADEL SECURITIES LLC (CDRG)	CDRG	24.1%	25.9%	12.5%	22.7%
202604	other_stocks	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	19.2%	18.4%	28.1%	13.6%
202604	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	11.3%	13.2%	3.1%	4.5%
202604	other_stocks	ICRS (ICRS)	Unmapped	0.4%	0.5%	0.0%	0.0%
202604	other_stocks	STONEX FINANCIAL INC. (INTL)	INTL	4.5%	4.3%	3.1%	9.1%
202604	other_stocks	JANE STREET CAPITAL, LLC (JNST)	JNST	14.7%	13.2%	18.8%	22.7%
202604	other_stocks	VIRTU AMERICAS LLC (NITE)	NITE	14.7%	12.7%	28.1%	13.6%
202604	other_stocks	TWO SIGMA SECURITIES (SOHO)	SOHO	5.6%	5.2%	3.1%	13.6%
202604	other_stocks	UBS SECURITIES (UBSS)	UBSS	5.6%	6.6%	3.1%	0.0%
202604	sp500	CITADEL SECURITIES LLC (CDRG)	CDRG	23.7%	23.4%	20.0%	40.0%
202604	sp500	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	17.5%	18.0%	20.0%	0.0%
202604	sp500	HRT FINANCIAL LP (HRTF)	HRTF	10.2%	10.2%	0.0%	20.0%
202604	sp500	STONEX FINANCIAL INC. (INTL)	INTL	6.2%	6.6%	0.0%	0.0%
202604	sp500	JANE STREET CAPITAL, LLC (JNST)	JNST	19.8%	18.6%	40.0%	40.0%
202604	sp500	VIRTU AMERICAS LLC (NITE)	NITE	11.9%	12.6%	0.0%	0.0%
202604	sp500	TWO SIGMA SECURITIES (SOHO)	SOHO	5.7%	6.0%	0.0%	0.0%
202604	sp500	UBS SECURITIES (UBSS)	UBSS	5.1%	4.8%	20.0%	0.0%
202605	options	CITADEL SECURITIES LLC (CDRG)	CDRG	33.3%	0.0%	0.0%	40.0%
202605	options	DASH FINANCIAL OPTION ATS (DASH)	Unmapped	33.3%	100.0%	0.0%	20.0%
202605	options	WOLVERINE EXECUTION SERV, LLC (WEXX)	Unmapped	33.3%	0.0%	0.0%	40.0%
202605	other_stocks	CITADEL SECURITIES LLC (CDRG)	CDRG	22.0%	26.3%	10.1%	13.5%
202605	other_stocks	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	18.0%	16.5%	24.6%	16.2%
202605	other_stocks	GTS SECURITIES LLC. (GTSM)	GTSM	0.5%	0.8%	0.0%	0.0%
202605	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	9.4%	6.8%	20.3%	8.1%
202605	other_stocks	STONEX FINANCIAL INC. (INTL)	INTL	1.6%	1.9%	1.4%	0.0%
202605	other_stocks	JANE STREET CAPITAL, LLC (JNST)	JNST	19.6%	16.9%	18.8%	40.5%
202605	other_stocks	VIRTU AMERICAS LLC (NITE)	NITE	13.4%	14.3%	8.7%	16.2%
202605	other_stocks	TWO SIGMA SECURITIES (SOHO)	SOHO	8.1%	8.7%	8.7%	2.7%
202605	other_stocks	UBS SECURITIES (UBSS)	UBSS	7.3%	7.9%	7.3%	2.7%
202605	sp500	CITADEL SECURITIES LLC (CDRG)	CDRG	24.2%	25.0%	0.0%	50.0%
202605	sp500	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	17.8%	17.3%	22.2%	50.0%
202605	sp500	HRT FINANCIAL LP (HRTF)	HRTF	14.3%	13.2%	44.4%	0.0%
202605	sp500	ICRS (ICRS)	Unmapped	0.4%	0.5%	0.0%	0.0%
202605	sp500	STONEX FINANCIAL INC. (INTL)	INTL	5.2%	5.5%	0.0%	0.0%
202605	sp500	JANE STREET CAPITAL, LLC (JNST)	JNST	16.0%	16.4%	11.1%	0.0%
202605	sp500	VIRTU AMERICAS LLC (NITE)	NITE	13.0%	13.2%	11.1%	0.0%
202605	sp500	TWO SIGMA SECURITIES (SOHO)	SOHO	6.1%	6.4%	0.0%	0.0%
202605	sp500	UBS SECURITIES (UBSS)	UBSS	3.0%	2.7%	11.1%	0.0%
202606	options	CITADEL SECURITIES LLC (CDRG)	CDRG	14.3%	0.0%	12.5%	30.0%
202606	options	DASH FINANCIAL OPTION ATS (DASH)	Unmapped	14.3%	0.0%	0.0%	40.0%
202606	options	DASH FINANCIAL TECH LLC (DFIN)	Unmapped	35.7%	100.0%	0.0%	0.0%
202606	options	JNOP (JNOP)	Unmapped	7.1%	0.0%	25.0%	0.0%
202606	options	GLOBAL EXECUTION BROKERS, LP. (SUSQ)	Unmapped	25.0%	0.0%	50.0%	30.0%
202606	options	WOLVERINE EXECUTION SERV, LLC (WEXX)	Unmapped	3.6%	0.0%	12.5%	0.0%
202606	other_stocks	CITADEL SECURITIES LLC (CDRG)	CDRG	25.5%	28.1%	22.4%	16.2%
202606	other_stocks	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	17.9%	16.3%	14.3%	29.7%
202606	other_stocks	GTS SECURITIES LLC. (GTSM)	GTSM	0.3%	0.5%	0.0%	0.0%
202606	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	7.6%	7.4%	8.2%	8.1%
202606	other_stocks	STONEX FINANCIAL INC. (INTL)	INTL	4.5%	5.9%	2.0%	0.0%
202606	other_stocks	JANE STREET CAPITAL, LLC (JNST)	JNST	14.8%	13.3%	20.4%	16.2%
202606	other_stocks	VIRTU AMERICAS LLC (NITE)	NITE	12.1%	13.3%	10.2%	8.1%
202606	other_stocks	TWO SIGMA SECURITIES (SOHO)	SOHO	8.3%	7.9%	10.2%	8.1%
202606	other_stocks	UBS SECURITIES (UBSS)	UBSS	9.0%	7.4%	12.2%	13.5%
202606	sp500	CITADEL SECURITIES LLC (CDRG)	CDRG	22.9%	23.8%	16.7%	16.7%
202606	sp500	G1 EXECUTION SERVICES, LLC (ETMM)	ETMM	16.7%	15.9%	25.0%	16.7%
202606	sp500	HRT FINANCIAL LP (HRTF)	HRTF	11.8%	10.3%	25.0%	16.7%
202606	sp500	STONEX FINANCIAL INC. (INTL)	INTL	6.9%	6.3%	16.7%	0.0%
202606	sp500	JANE STREET CAPITAL, LLC (JNST)	JNST	22.2%	22.2%	16.7%	33.3%
202606	sp500	VIRTU AMERICAS LLC (NITE)	NITE	11.1%	11.9%	0.0%	16.7%
202606	sp500	TWO SIGMA SECURITIES (SOHO)	SOHO	6.9%	7.9%	0.0%	0.0%
202606	sp500	UBS SECURITIES (UBSS)	UBSS	1.4%	1.6%	0.0%	0.0%

2. Venue Scorecards (Amended Rule 605)

Execution quality metrics for routed venues benchmarked against mix-adjusted competitors on identical symbols and size tiers.

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Month	Venue	Class	Notional × Lot	Fill Rate	PI Rate	NPI (bps)	Peer Bench (bps)	Coverage	Rank Pctl	Eff Spread	Speed <1s

3. Routing-Weighted Composite Quality

Implied execution quality achieved by the firm’s routing mix across the 24 amended size tiers, compared against the best and median competing venues.

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Month	Class	Notional × Lot	Metric	Firm Composite	Best Competing	Best Venue	Median Competing	Mapped Flow

4. Payment for Order Flow vs. Execution Quality

Addresses FINRA 5310.09 conflicts: comparing PFOF received (¢/100 sh) against net price improvement shortfall vs mix-adjusted peers.

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Month	Venue	Order Class	Route %	606 Net PFOF (¢/100)	NPI (bps)	Peer Bench (bps)	Delta (bps)	Ref Price	Delta (¢/100 sh)	Conflict Flag

Conflict Methodology Note: Quality delta (¢/100 sh) is estimated as Δ_bps × ref_price. A positive PFOF beside a negative delta indicates the firm received payment while the venue delivered less price improvement than competing market centers on identical symbols and size tiers.

5. Material Changes Since Prior Quarter

Changes in routing share (≥ 5 pp), newly added/dropped venues, and PFOF rate shifts since 2026Q1.

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No material shifts (≥ 5 percentage point route share or PFOF rate change) detected relative to 2026Q1.

6. Coverage, Exclusions & Standing Limitations

Mandatory regulatory disclosure of data availability, unmapped destinations, and methodological caveats.

Suppressed Cells

Cells with < 100 covered orders

Unmapped Venues

606 destinations without 605 match

Challenged / Missing 605

Venues missing monthly 605 report

Unmapped Routing Destinations:

ICRS (ICRS)

Standing Review Limitations:

A venue's Rule 605 statistics describe all flow it handled, not this firm's orders.
606 route shares are per order, not per share, and list only the top 10 venues plus any venue with at least 5% of non-directed orders.
FINRA Rule 5310.09 also requires the firm's own order-level review of its executions.
This report is not legal or compliance advice.
Net price improvement is in basis points of executed notional (quote midpoint × shares). The PFOF comparison converts the difference to ¢/100 sh at the venue's average executed price; it is an estimate.