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Home > Financial Services > Stock Brokers > First Heartland Capital, Inc.
First Heartland Capital, Inc.
First Heartland Capital, Inc. is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
The Company has prepared this report pursuant to a United States Securities and Exchange Commission rule requiring all brokerage firms to make publicly available.
Quarterly reports on their order routing practice. The report provides information on the Routing of non directed orders any order that the customer has not specifically instructed to be routed to a particular venue for execution.
First Heartland Capital, routes all customer orders to National Financial Services, LLC, the clearing firm, at which customer accounts are held. This report shows how National Financial Services has routed these non-directed orders to the venues indicated in this report. The report is divided into four sections one for securities listed on the New York Stock Exchange, one for securities listed on the NASDAQ Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange listed options.
For each section, this report identifies the venues most often selected by National Financial Services, LLC, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of First Heartland Capital, Inc.’s relationship, if any, with the venues.
Financial information is covered by the Fair Credit Reporting Act and includes informal Ton such as your credit history, assets, income, type and value of other insurance products you own or for which you have applied, and amount of insurance premiums you pay to other insurance companies.
Customer Information in order to offer you products and services that may be of value to you, where permitted by law, disclose the customer information described above to the following such as, Other financial institutions with which we jointly provide financial products or services, their associates companies, Anyone to whom you have authorized them to disclose the information.
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