1.3 Wells Fargo Clearing Services, LLC 2020 4 2021-01-27T17:42:57Z 2020 10 100.00 63.82 1.46 28.57 6.15 Citadel Execution Services 28.60 35.21 35.06 13.00 30.92 0.00 0.0000 0.00 0.0000 5708.77 12.1259 1359.18 6.1952 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 26.03 26.55 33.49 24.74 24.90 0.00 0.0000 0.00 0.0000 14439.39 16.7098 8.43 0.0562 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Jane Street Capital 14.19 22.01 1.80 0.30 0.47 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Virtu Americas, LLC 11.12 6.33 16.79 18.92 23.32 0.00 0.0000 0.00 0.0000 9571.51 18.8082 0.24 0.0023 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. UBS Securities, LLC 6.69 5.28 4.27 9.31 9.64 0.00 0.0000 0.00 0.0000 4399.28 11.9618 749.93 11.9120 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Two Sigma Securities, LLC 5.54 3.21 3.89 9.72 10.75 0.00 0.0000 0.00 0.0000 3728.79 15.3323 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. CBOE BZX Exchange 2.98 0.01 2.25 10.29 0.01 -75.90 -21.2647 -629.14 -22.7487 9638.04 29.2144 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Nasdaq OMX 2.85 0.01 2.23 9.84 0.00 0.00 0.0000 -216.40 -8.7292 9057.25 32.3318 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. New York Stock Exchange 1.11 0.00 0.22 3.89 0.00 0.00 0.0000 17.41 28.5036 2830.77 27.8120 -37.02 -10.0003 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Wells Fargo Securities 0.89 1.39 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. 100.00 53.17 3.62 37.24 5.97 Citadel Execution Services 26.76 34.94 33.71 13.99 29.44 0.00 0.0000 0.00 0.0000 19866.85 11.3228 4084.66 6.7260 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 24.46 25.38 26.14 23.12 23.69 0.00 0.0000 0.00 0.0000 48922.96 19.1067 81.48 0.2155 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Virtu Americas, LLC 14.90 8.86 25.22 21.16 23.51 0.00 0.0000 0.00 0.0000 31853.47 15.6991 10.16 0.0320 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Jane Street Capital 11.13 20.46 1.79 0.41 0.52 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 UBS Securities, LLC 7.06 5.25 4.62 9.21 11.20 0.00 0.0000 0.00 0.0000 13152.60 11.0881 1814.35 10.2516 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Two Sigma Securities, LLC 6.74 3.50 4.29 10.82 11.64 0.00 0.0000 0.00 0.0000 11964.73 15.0907 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Nasdaq OMX 3.71 0.01 2.03 9.74 0.00 0.00 0.0000 -2044.90 -8.6393 31150.21 34.3152 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. CBOE BZX Exchange 3.47 0.01 2.08 9.10 0.00 -105.87 -11.5520 -3954.40 -17.3558 23041.67 27.2999 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. New York Stock Exchange 0.92 0.00 0.12 2.46 0.00 0.00 0.0000 -40.67 -28.4984 4001.65 27.2802 -88.29 -11.9404 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Wells Fargo Securities 0.84 1.59 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. 100.00 31.87 10.01 56.76 1.36 Citadel Execution Services 39.55 39.46 39.17 39.71 37.67 26255.70 9.9753 17283.10 9.9657 19200.60 9.8618 2824.80 5.0625 Wells Fargo Clearing Services, LLC receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. Global Execution Brokers LP 37.78 38.07 39.01 37.36 39.41 23604.52 7.0840 19308.90 24.8653 70601.24 34.0598 8601.02 21.9829 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Wolverine Execution Services, LLC 13.16 12.72 12.76 13.48 13.32 15544.18 18.6885 10312.20 28.2758 18496.29 29.9948 363.11 25.8441 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Morgan Stanley & Co., LLC 9.48 9.71 8.98 9.43 9.60 5780.55 8.8918 3750.75 11.9531 10333.30 25.4327 189.20 21.2584 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Interactive Brokers LLC 0.04 0.04 0.08 0.03 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 2020 11 100.00 59.37 1.52 31.86 7.24 Citadel Execution Services 29.06 37.60 33.85 11.74 34.23 0.00 0.0000 0.00 0.0000 7819.92 10.9087 1011.06 4.3769 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 14.58 11.98 26.25 17.65 19.94 0.00 0.0000 0.00 0.0000 11950.30 17.4390 7.91 0.0928 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Virtu Americas, LLC 14.13 10.08 15.65 19.21 24.61 0.00 0.0000 0.00 0.0000 9664.29 17.7467 1.40 0.0163 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Jane Street Capital 12.56 20.92 1.78 0.22 0.56 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Two Sigma Securities, LLC 9.44 5.88 11.35 15.27 12.59 0.00 0.0000 0.00 0.0000 7076.43 16.0777 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. UBS Securities, LLC 6.15 6.01 5.03 6.04 8.07 0.00 0.0000 0.00 0.0000 1722.61 10.4550 251.80 6.0427 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Wells Fargo Securities 4.49 7.51 0.32 0.09 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. Nasdaq OMX 3.99 0.01 2.74 12.37 0.00 0.00 0.0000 -617.83 -14.6961 12270.80 32.0596 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. CBOE BZX Exchange 3.91 0.01 2.64 12.12 0.00 -129.59 -21.5934 -658.72 -22.9435 9876.64 29.7757 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. New York Stock Exchange 1.69 0.00 0.39 5.29 0.00 0.00 0.0000 -21.24 -28.5024 4727.90 28.0117 -54.67 -9.7125 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. 100.00 49.52 3.70 40.28 6.51 Citadel Execution Services 25.97 35.19 32.00 12.81 33.74 0.00 0.0000 0.00 0.0000 31590.89 12.1114 3651.76 4.9631 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Virtu Americas, LLC 15.21 10.48 18.84 19.22 24.25 0.00 0.0000 0.00 0.0000 36776.33 15.9941 24.10 0.0748 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 14.81 11.28 22.48 17.83 18.67 0.00 0.0000 0.00 0.0000 44953.98 19.3317 250.45 0.9185 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Two Sigma Securities, LLC 10.53 5.60 9.81 16.47 11.75 0.00 0.0000 0.00 0.0000 26574.80 15.3324 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Jane Street Capital 9.15 18.03 1.61 0.34 0.47 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 UBS Securities, LLC 7.60 7.45 10.75 6.92 11.12 0.00 0.0000 0.00 0.0000 8016.83 9.9022 1298.79 6.8674 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Wells Fargo Securities 5.91 11.93 0.02 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. Nasdaq OMX 4.92 0.02 2.17 12.00 0.00 0.00 0.0000 -1936.96 -8.3820 42542.26 32.4052 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. CBOE BZX Exchange 4.51 0.02 2.13 10.99 0.00 -157.83 -11.5926 -4621.76 -18.9478 30728.99 28.4027 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. New York Stock Exchange 1.38 0.00 0.16 3.41 0.00 0.00 0.0000 -48.40 -28.4974 7219.55 26.5954 -114.60 -10.4142 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. 100.00 30.62 9.53 58.51 1.33 Citadel Execution Services 38.82 38.86 38.42 38.92 36.16 29949.20 9.9716 19076.30 9.9707 19697.90 9.9617 2660.25 5.1729 Wells Fargo Clearing Services, LLC receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. Global Execution Brokers LP 36.25 36.48 37.31 35.87 40.01 25873.38 7.4355 22162.20 25.7931 86245.41 35.1192 7796.77 23.5410 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Wolverine Execution Services, LLC 14.53 14.38 13.65 14.78 13.75 18039.85 17.1708 11273.44 28.0141 22108.51 28.6978 448.55 23.7454 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Morgan Stanley & Co., LLC 10.35 10.23 10.48 10.39 10.09 7121.35 9.4438 3842.65 10.3109 13703.60 26.8162 361.80 22.9132 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Interactive Brokers LLC 0.05 0.04 0.14 0.04 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 2020 12 100.00 59.41 1.29 31.91 7.39 Citadel Execution Services 30.74 38.18 37.42 15.55 35.31 0.00 0.0000 0.00 0.0000 9138.31 13.0155 648.98 3.1969 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Virtu Americas, LLC 12.60 6.11 20.65 23.16 17.83 0.00 0.0000 0.00 0.0000 10030.45 18.1060 0.20 0.0038 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Wells Fargo Securities 12.45 20.93 0.17 0.04 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. Two Sigma Securities, LLC 11.82 10.08 4.40 15.17 12.67 0.00 0.0000 0.00 0.0000 6658.84 15.8051 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 11.18 7.95 26.98 14.59 19.70 0.00 0.0000 0.00 0.0000 10893.02 19.7761 2.03 0.0381 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. UBS Securities, LLC 8.28 6.52 4.14 10.33 14.28 0.00 0.0000 0.00 0.0000 3045.25 10.4168 629.86 13.2088 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Jane Street Capital 6.27 10.22 1.98 0.49 0.21 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 CBOE BZX Exchange 3.91 0.01 2.15 12.14 0.00 -48.94 -19.5038 -594.95 -22.2984 12338.09 29.2770 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Nasdaq OMX 2.75 0.01 2.11 8.52 0.00 0.00 0.0000 -243.17 -7.8001 4976.23 34.3909 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. 100.00 48.02 3.80 41.04 7.14 Citadel Execution Services 24.94 30.91 34.87 15.78 32.08 0.00 0.0000 0.00 0.0000 37778.86 10.0300 3710.45 4.1031 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. Wells Fargo Securities 15.73 32.73 0.05 0.02 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (WFCS) is an affiliate of Wells Fargo Securities, LLC (WFS). Both WFCS and WFS are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. WFCS sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by WFCS to WFS. WFS may also have a profit or loss when executing orders as principal. WFCS receives payments from WFS for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders that WFS routes to certain venues. WFCS does not receive payments for routing marketable orders. Virtu Americas, LLC 14.43 6.47 21.08 22.45 18.36 0.00 0.0000 0.00 0.0000 46973.96 16.3505 19.68 0.0698 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. Two Sigma Securities, LLC 11.69 6.66 4.50 18.15 12.25 0.00 0.0000 0.00 0.0000 29833.63 14.5624 0.00 0.0000 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed. The Firm does not receive payments for routing marketable orders. G1X Execution Services, LLC 11.62 7.16 22.49 14.59 18.77 0.00 0.0000 0.00 0.0000 47798.64 20.5341 91.09 0.3007 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. UBS Securities, LLC 9.90 8.51 11.37 9.95 18.20 0.00 0.0000 0.00 0.0000 9810.04 7.6932 1493.65 4.6397 Wells Fargo Clearing Services, LLC (“The Firm”) receives payments from this broker-dealer for routing non-marketable limit orders that are subsequently executed, and these payments are higher for large orders. The Firm does not receive payments for routing marketable orders. CBOE BZX Exchange 4.35 0.02 1.92 10.40 0.00 -195.37 -10.5213 -5101.68 -18.8851 35135.93 27.9003 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Jane Street Capital 4.01 7.52 1.85 0.73 0.36 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Nasdaq OMX 3.32 0.02 1.88 7.91 0.00 0.00 0.0000 -2716.55 -9.4005 27115.92 35.1062 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange-sponsored retail liquidity programs. Jane Street Execution Services 0.00 0.00 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 32.60 10.12 56.04 1.25 Citadel Execution Services 39.70 39.31 39.34 40.11 34.72 32599.00 9.9678 20541.40 9.9777 22720.80 9.9640 3134.55 5.2585 Wells Fargo Clearing Services, LLC receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. Global Execution Brokers LP 36.76 37.58 37.45 36.06 41.33 34768.04 8.5775 25980.70 27.4316 91479.37 34.2605 7639.74 22.4447 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Morgan Stanley & Co., LLC 11.88 11.73 11.45 12.07 10.96 8374.75 9.3394 5006.85 11.3660 17132.20 28.4446 309.50 23.2183 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Wolverine Execution Services, LLC 11.59 11.33 11.58 11.72 12.99 17283.85 17.8359 11259.13 27.1750 20073.67 29.7922 375.92 23.7024 Wells Fargo Clearing Services, LLC receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. Interactive Brokers LLC 0.06 0.05 0.18 0.05 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000