NATIXIS SECURITIES AMERICAS LLC

Natixis Securities Americas LLC, a US-registered broker-dealer and subsidiary of Natixis, provides its clients with corporate and investment banking solutions. Natixis Securities Americas LLC is registered with FINRA and is a member of SIPC. Further information regarding Natixis Securities Americas LLC and its registered representatives is available through FINRA BrokerCheck.

Natixis is the international corporate and investment banking, asset management, insurance and financial services arm of Groupe BPCE, the 2nd-largest banking group in France with 31 million clients spread over two retail banking networks, Banque Populaire and Caisse d’Epargne. With more than 21,000 employees, Natixis has a number of areas of expertise that are organized into four main business lines: Asset & Wealth Management, Corporate & Investment Banking, Insurance and Specialized Financial Services.

Click here to go to the CIB Americas page.

Natixis Securities Americas LLC Statement of Financial Condition

If you would like to receive a hardcopy of this document, please call 1-866-735-0101.

Disclosure of Payment for Order Flow - SEC Rule 607 

SEC Rule 607 of Regulation NMS requires broker-dealers to disclose upon opening a new customer account and on an annual basis thereafter: (i) their policies regarding payment for order flow, including a statement as to whether any payment for order flow is received for routing customer orders and a detailed description of the nature of the compensation received, and (ii) their policies for determining, in the absence of specific customer instructions, where to route customer orders that are the subject of payment for order flow, including a description of the extent to which orders can be executed at prices superior to the National Best Bid and Offer (“NBBO”).

Certain trading venues offer cash credits/rebates for orders that provide liquidity to their books and charge explicit fees for orders that extract liquidity from their books, or inversely offer those benefits for orders that remove liquidity from their books and charge fees for orders that provide liquidity to their books. Natixis Securities Americas LLC routes customer equity orders to various broker-dealer intermediaries, ATSs, including electronic communications networks (“ECNs”), and other market centers that may be eligible for these benefits.  Natixis Securities Americas LLC in turn receives pro-rata allocations of liquidity rebates received by its broker-dealer intermediaries from these trading venues.  

Any payments or rebates received do not impact Natixis Securities Americas LLC order routing practices.  Order routing decisions are based on a number of factors including the size of the order, the opportunity for price improvement (i.e., prices superior to the NBBO) and the quality of order executions.

If you would like to receive a copy of this document from prior quarters, please e-mail USComplianceAdvisory@natixis.com

As per FINRA Rule 2267, all customers, clients and investors are permitted to access BrokerCheck, a FINRA based tool which provides the public with information on the professional background, business practices, and conduct of FINRA-member firms and their associated persons when considering whether to work with a new investment professional or Firm. To view information about Natixis Securities Americas LLC, please click on the following link and type in the Firms name or the individuals name or Central Registration Depository ("CRD") number to perform your search. Natixis Securities Americas LLC's CRD is "1101".

http://www.finra.org/brokercheck

FINRA

Telephone: (800) 289-9999

Public Disclosure

FINRA

P. O. Box 9401

Gaithersburg, Maryland 20898-9401

Fax: (301) 212-8137

The FINRA BrokerCheck publishes a free investor brochure that is available by contacting FINRA at the above telephone number or address.

In the event of a significant business disruption, Natixis Securities America LLC (“NSA”) has implemented a BCP reasonably designed to enable NSA to meet its existing obligations to customers in the event of an emergency, disaster or other significant business disruption. NSA intends to continue business operations and has implemented, and periodically tests, measures, and adjusts its continuity plans in order to recover from a variety of possible emergency scenarios.

Leveraging the Natixis CIB Americas Business Continuity program, NSA implements the following procedures, including but not limited to:

• Recovery Strategy Development and Implementation
• Crisis Management Program
• Plan Products
• BCM Tools
• Testing Program 
  1. Disaster recovery data center testing
  2. Recovery seat testing
  3. Remote access testing
  4. Crisis management tabletop testing
  5. Industry-related testing
  6. Emergency notification system testing
• Training and Awareness

The full NSA Business Continuity Plan is available to all customers upon request.
 

Main Office Location:

Natixis Securities Americas LLC

1251 Avenue of the Americas

New York, NY 10020

(212) 891-6100

Contacts:

Louis Pinto, Executive Representative louis.pinto@natixis.com

Suprio Chaudhuri, Chief Compliance Officer suprio.chaudhuri@natixis.com