SEC Rule 605 and 606 (formerly 11Ac1-6 Order Disclosure)

The U.S. Securities and Exchange Commission's client disclosure rule, SEC Rule 605 and 606, require all broker/dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker/dealer's relationship with such venues.

ePLANNING Securities, Inc. is an agency-only broker/dealer specializing in supporting independent financial representatives and, therefore, directs no trades to specific exchanges. Based on volume of trades directed, ePLANNING Securities is exempt from the reporting requirements.

ePLANNING Securities, Inc. routes 100% of its orders to our clearing agent National Financial Services, LLC (NFS). To view NFS' trade execution quality reports you can visit their Web site at www.nationalfinancial.com.

Any of the ePLANNING’s clients may, at any time, inquire as to the routing and execution of any of their orders, any group of their orders or all of their orders, and such information will be provided in a timely manner.

If you wish further information, contact Scott Hultsman at ePLANNING Securities, Inc. @ 916-677-0177