Overview

F

Feltl and Company’s trading and institutional sales professionals have a great deal of knowledge in all areas of the capital markets. The Institutional Sales and Trading Departments are committed to providing superior service and developing long lasting relationships. Among the services we provide are company buybacks, block liquidity, best execution, natural crossing opportunities, and electronic program trading. We trade primarily small to mid-cap growth companies.

All of our professionals are equipped with top of the line technology that allows them to execute orders with promptness and accuracy. Our professionals work closely with our research analysts to receive timely and accurate information that assists clients in making sound investment decisions. Our professionals are also in contact with all of the companies in our market maker universe. Seminars, group meetings, and field trips are just a few of the ways that our team stays on top of the market stream of the most current information to provide the best service available.

Market Maker Universe

View Market Maker List

Abaxis IncABAX

AgroFresh SolutionsAGFS

AgroFresh Solutions WtsAGFSW

Air Methods CorporationAIRM

America First MultiFam Lnv LPATAX

American VanguardAVD

Arctic Cat IncACAT

Arena Pharmaceuticals IncARNA

AxoGen IncAXGN

Big 5 Sporting CorpBGFV

Biocept IncBIOC

BioPharmx CorpBPMX

BioScrip IncBIOS

Black Diamond IncBDE

Buffalo Wild WingsBWLD

BungeBG

Cabela's IncCAB

Cancer GeneticsCGIX

Cardiovascular Systems IncCSII

Cardtronics IncCATM

Casey's General StoresCASY

CF IndustriesCF

Check-Cap LTDCHEK

Check-Cap LTD (A) 2/28/20CHEKW

Cirrus Logic IncCRUS

Cryoport IncCYRX

Cryoport Inc WtsCYRXW

CVR Partners LPUAN

CVSL IncCVSL

Deluxe CorporationDLX

Denny's CorpDENN

Dexcom IncDXCM

Diebold NixdorfDBD

Digi International IncDGII

Dipexium Pharm IncDPRX

Diversified Restaurant HldgsSAUC

Dollar Tree IncDLTR

Domino's Pizza IncDPZ

Echo Therapeutics IncECTE

Electromed IncELMD

Euronet Worldwide IncEEFT

Evine Live IncEVLV

Evoke Pharma IncEVOK

Exact Sciences CorporationEXAS

Famous Dave'sDAVE

Fusion Telecomms Int'l Inc NewFSNN

Galmed Pharm LTDGLMD

Good Times Restaurants IncGTIM

GreenDotGDOT

Green PlainsGPRE

Heska CorpHSKA

Hibbett Sports IncHIBB

Idexx Laboratories CorpIDXX

Immersion CorpIMMR

InnerWorkings IncINWK

Insignia SystemsISIG

Insulet CorporationPODD

Jaguar Animal Health IncJAGX

Joint CorpJYNT

Kindred Biosciences IncKIN

Kona GrillKONA

Lakes EntertainmentGDEN

LandecLNDC

Limoneira CompanyLMNR

LSB IndustriesLXU

Masimo CorpMASI

MoneyGram InternationalMGI

Novadaq Technologies IncNVDQ

On Trace InnovationOTIV

Papa John's International IncPZZA

Pixelworks IncPXLW

Planet PaymentPLPM

Polaris Industries IncPII

Popeyes Louisiana Kitchen IncPLKI

Pulse BiosciencesPLSE

PureCycle CorpPCYO

Rentech IncRTK

ResMed IncRMD

REX American ResourcesREX

Sajan IncSAJA

Supercom LTDSPCB

Superconductor TechnologiesSCON

Surmodics IncSRDX

Synaptics IncSYNA

Tandem Diabetes Card, IncTNDM

TearLab CorporationTEAR

The AndersonsANDE

Titan InternationalTWI

Titan MachineryTITN

Tractor SupplyTSCO

Transgenomic IncTBIO

Truett-Hurst IncTHST

USA TechnologiesUSAT

Vascular Solutions IncVASC

Viking Therapeutics IncVKTX

Western UnionWU

Order Routing Policy

SEC Rules

The Securities and Exchange Commission requires that all broker-dealers determine that they receive best execution for their clients. In order to address this requirement in a meaningful and consistent manner, Feltl and Company has entered into an agreement with Thomson Transaction Analytics (TTA) whereby TTA will take execution information from the firms with whom Feltl and Company does business and provide reports that categorize order executions and include statistical data about execution quality. These public reports can be viewed by clicking on either rule:

SEC 605 | SEC 606 | SEC 606 (NFS)

Order Flow Statement

All customer orders subject to payment for order flow are sent to market centers that execute market and marketable limit orders at prices no worse than the displayed National Best Bid or Offer (“NBBO”). Each of these market centers provide the opportunity for execution of orders at prices better than the NBBO when the spread between the bid and ask price is greater than the minimum variant. Orders sent are exposed across all exchanges and market centers to obtain price improvement for our customers. In return for routing orders to a specific market center Feltl and Company may receive cash payment. This information is provided pursuant to SEC Rule 11(c)(1-3) and 11A(c)(1-6).).

Key Personnel

Institutional Equity Trading / Trading Wats
866-338-3522

Thomas J. Walters

Senior Institutional Equity Trader

Thomas J. Walters

Senior Institutional Equity Trader

612.492.8829

tjwalters@feltl.com

Cory N. Carlson

Senior Institutional Coverage Trader

Cory N. Carlson

Senior Institutional Coverage Trader

612.492.8858

cncarlson@feltl.com
Institutional Equity Sales
Fixed Income Trading

Brad D. Hanson

Fixed Income Trader

Brad D. Hanson

Fixed Income Trader

612.492.8869

bdhanson@feltl.com

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