Pursuant to SEC Rule 606, Penson Financial Services, Inc. is required to make publicly available a quarterly report with regard to its routing of non-directed orders.

For the purpose of this Rule, we have entered into an agreement with Quantum5 Market Surveillance (a Division of S3 Matching Technologies) to disclose all required information pertaining to this rule.

This information can be accessed on the internet at: ftp://public.s3.com/11ac1-6/pfsi, or a written copy will be furnished at no cost upon request via telephone to 214-765-1009 or email to cs@penson.com.

SEC Rule 606(b) requires a broker-dealer to disclose to its customers, upon request, "the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.

Notice to Our Customers about our Use of Your Personal Information

Recently the Securities and Exchange Commission adopted S-P, which requires financial institutions such as Olympia Capital Markets Group, Ltd. to inform customers about our privacy regarding non-public information.

We collect non-public personal information about you from the following sources:

• Information we receive from you on applications or other forms;
• Information about your transactions with us, our affiliates, or other; and
• Information we receive from a consumer reporting agent.

We do not disclose any non-public personal information about our customers or former customers to anyone except our clearing firm for the purpose of opening and maintaining your account and except as permitted by law.

We restrict access to non-public personal information about you to those employees and authorized agents who need to know the information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information.

For our clearing firm’s privacy policy click here

Dear Customer,

The Financial Industry Regulatory Authority (FINRA) requires all member firms to formulate a Business Continuity Plan. The Plan requires all firms to have prepared contingencies in case of several types of Significant Business Disruptions (SBD).

SBD’s fall into four categories: Firm only, Building-wide, City-wide, and Regional.

A "Firm only" SBD may refer to our internal systems, such as our computer network being rendered inoperative.

A "building-wide" SBD may refer to an incident that would render the building inoperable, such as a fire.

A citywide SBD may refer to a terrorist act, such as the events of September 11th 2001

A regional SBD may refer to a large-scale power outage, such as the Blackout that occurred in August 2003.

Our priorities at Olympia Capital Markets Group are as follows;

1. Our staff’s well being will take precedence. All staff members will be moved to safety, if necessary. We have taken measures to ensure that all staff will be contacted in the event of a building-wide, citywide or regional SBD. Senior management will maintain a list of contact numbers of all staff at their personal residences, to ensure that they have reached their homes safely.

2. All client accounts can be reviewed through our clearing agent, Penson Financial Services, Inc.(Penson). In the event of any SBD, senior staff can review and service client accounts so long as there is Internet access available, by accessing Penson All in house documentation will be "backed up" and retained off site, so that, in the event our systems are rendered inoperable, we can retrieve valuable information.

3. Performing buy or sell transactions can be performed via Internet or telephone. In the event of a firm-wide or building-wide SBD, staff will still be able to contact clients and Penson in order to service client accounts. If the building is rendered inoperable, our firm will have a Disaster Recovery Location from which business can be conducted. The location is confidential. In the event of a citywide or regional SBD, the financial markets will no doubt close, giving our firm extra time to regroup and resume operation. Clients also have the option of directing their accounts through our Web Site, in the event that we cannot be contacted.

4. Penson, our clearing agent, is a multi-national, multi-location firm. In the event that an SBD affects our clearing agent, they have back-up facilities in different regions throughout the country. Please visit the Penson website at www.penson.com to view their business continuity plan.

5. In the event of a firm-wide or building-wide SBD, we can reasonably assume that our vendors will react as quickly as possible to restore service to all of our business-critical systems. If the SBD is citywide, and affects our vendors as well, we will maintain a list of alternate vendors who can provide us similar services.

Obviously, our plans will vary with the severity of the SBD, and will change as conditions permit. We will endeavor to keep our Web Site updated so that our clients may be kept abreast of any situation which affects the continued successful operation of our firm, and give guidance as to actions that may be taken by the client in the event of any SBD. Please note, this plan is subject to modification. In the event of a modification, we will disclose any changes on our Web Site.

Customers will also be able to receive a copy of our current BCP upon written request.

Olympia Capital Markets Group, Ltd is a Registered Broker Dealer headquartered at 888 7th Avenue, Suite 1704, New York, NY 10019. Olympia Capital Markets Group Ltd., a subsidiary of Olympia Asset Management.; Olympia Asset Management; is a member of the FINRA as well as a member of SIPC.

By use of this site you agree:

The information on this Website is for information purposes only. It is believed to be reliable, but Olympia Capital Markets Group Ltd. does not warrant its completeness, timeliness or accuracy. The information on the Website is not intended as an offer or solicitation for the purchase of any security or any financial instrument. While the information contained herein has been obtained from sources deemed reliable, it is not guaranteed. (Please consult your monthly statements or transaction confirmations for transaction details).

The use of email links on this site to request, authorize or affect the purchase or sale of any security, to send fund transfer instructions, or to effect any other transactions is strictly prohibited. We will not execute trade orders transmitted via electronic means, including email and voice mail, without verbal confirmation prior to entry.

The information and materials contained in this Website - and the terms and conditions of the access to and use of such information and materials - are subject to change without notice.

No statement within the website should be construed as a recommendation to buy or sell a security or to provide investment advice. The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Olympia Capital Markets Group Ltd. to any registration requirement within such jurisdiction or country.

Links to third-party sites such as our clearing agent are provided for your convenience. Such sites are not within our control and may not follow the same privacy, security, or accessibility standards as ours. The third-party is responsible for the content and availability of its sites, partners or advertisers.

If you are interested in obtaining additional information on anything you see on this site please contact Olympia Capital Markets Group, Ltd. by phone at 212-586-7525 or email to: info@olympiany.com.

Olympia's Code of Conduct

Our corporate culture is one of professionalism, courtesy and accountability. We encourage a non-threatening workplace free from harassment based on gender, race or religion.

• Olympia’s team shall conduct all business with the highest levels of integrity and ethics
• We believe in full, fair and timely disclosures to our clients and all stakeholders
• It is Olympia’s policy to comply with all applicable laws, rules and regulations
• Every member of the Olympia team has a personal responsibility to uphold this Code of Conduct
• We encourage an environment where employees of different backgrounds can reach their fullest potential
• We strive to understand our clients’ needs and actively listen to their concerns
• We take the time to explain issues and answer questions
• We encourage open communication with our clients and stakeholders at all times
• We guarantee our clients the highest levels of professionalism and full disclosure on all investments

Since data security is a "moving target", with security protocols still evolving, we will continue to implement security features in the future that will maintain the highest levels of secure data transmissions.

Since data encryption and decryption significantly slows down communications, transmissions to our customers come in two varieties, secured and unsecured. Files such as this one are unsecured, while sensitive transmissions come from a separate server, allowing us to optimize speed while maintaining high levels of security.

To access the client area on our secured server, you must use a browser capable of handling the level of security that we utilize.

If you are accessing the secured client area from behind a corporate firewall, you may experience difficulties with your browser "hanging" (failing to complete loading a page). If you experience this situation, ask your corporate system administrator to establish a 'Proxy for SSL'.

When you are in a secured area, the URL (web 'address') showing in your browser will begin with 'HTTPS'. Normal unsecured transmissions show a URL beginning with 'HTTP'. Individual browsers also give indications that secured transmissions are being sent and received. Typically, an icon showing a broken key or an open lock indicates unsecured mode, while a solid key or a locked lock icon indicates a secured session is in progress.

Secure Socket Layer (SSL) Protocol

Secured transmissions are done using Secure Sockets Layer (SSL). This is a protocol which provides secure communications on the Internet by doing three things:

SSL verifies that the server that you are communicating with is the one it purports to be.

SSL creates a secure communication channel by encrypting all communication between the user and the server.

SSL conducts constant checks to verify data integrity between the server and the client (user). This is accomplished by using a checksum count of the exact number of bytes transmitted and received. If a message is not received in its entirety, it is rejected and another copy of the encrypted data is transmitted. Thus, SSL verifies that the entire message sent is actually received. may have with your margin accounts.