1.3 Maxim Group LLC 2026 1 2026-04-30T17:22:12Z 2026 01 100.00 32.11 12.34 44.17 11.38 CITADEL SECURITIES LLC 62.85 83.61 58.19 50.22 58.35 1443.28 21.4172 385.87 5.9786 1192.27 17.8234 356.84 6.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 16.57 1.74 23.59 26.15 13.63 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 15.42 0.00 17.80 23.12 26.49 0.00 0.0000 979.60 64.9986 4555.99 3020.0119 1345.00 88.9980 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 24.19 29.12 25.37 21.31 CITADEL SECURITIES LLC 68.88 87.54 57.17 62.12 71.75 2435.12 34.3971 1914.38 29.3061 1812.29 25.7304 1757.97 26.9627 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. CODA MARKETS INC 12.28 0.57 27.02 2.70 16.82 30.67 2.0000 1742.66 100.0000 151.54 9.0000 793.76 45.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 9.10 1.25 13.62 15.73 3.94 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 6.57 0.07 1.90 18.17 6.50 15.50 0.9968 528.68 35.0001 4400.49 290.9992 1321.70 86.9997 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 0.27 47.81 34.70 17.21 CITADEL SECURITIES LLC 87.43 100.00 100.00 100.00 26.98 56.90 29.0306 18107.00 29.5398 21017.40 47.2896 3297.00 54.0315 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. Matrix Executions, LLC / Simplex Trading, LLC 10.38 0.00 0.00 0.00 60.32 0.00 0.0000 0.00 0.0000 0.00 0.0000 646.86 17.0226 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 2026 02 100.00 37.26 11.83 39.54 11.37 CITADEL SECURITIES LLC 65.06 80.90 56.90 59.05 42.55 1257.01 21.3090 280.83 23.2751 973.66 16.7768 201.80 4.0002 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 18.95 1.84 28.28 32.28 18.97 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 9.03 0.05 13.80 7.80 37.77 5.67 1.0000 459.20 41.0000 867.38 76.9998 1207.53 107.0003 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 31.76 11.75 30.41 26.08 CITADEL SECURITIES LLC 72.33 84.64 72.98 67.57 62.58 2081.84 31.7430 583.52 9.6104 1398.27 23.8715 1110.71 12.9437 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 9.91 0.39 5.26 15.20 17.43 56.69 5.0000 283.46 25.0000 2120.26 186.9998 2086.24 183.9994 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 7.08 1.21 9.57 15.52 3.27 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. CODA MARKETS INC 5.57 0.35 10.83 0.28 15.73 54.29 3.0000 621.29 35.9999 42.22 2.0000 2005.62 114.9998 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 0.15 22.24 13.23 64.39 CITADEL SECURITIES LLC 38.08 100.00 100.00 100.00 3.84 16.00 24.6154 2278.80 3.2149 20604.00 48.9104 48.91 0.6122 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. Miami International Securities Exchange, LLC 13.08 0.00 0.00 0.00 20.32 0.00 0.0000 0.00 0.0000 0.00 0.0000 72.51 0.8057 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. EDGXOPT 12.65 0.00 0.00 0.00 19.64 0.00 0.0000 0.00 0.0000 0.00 0.0000 70.09 0.8056 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. Cboe EDGX Exchange, Inc. 10.03 0.00 0.00 0.00 15.58 0.00 0.0000 0.00 0.0000 0.00 0.0000 55.59 0.8057 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. ISEOPT2 6.54 0.00 0.00 0.00 10.16 0.00 0.0000 0.00 0.0000 0.00 0.0000 36.25 0.8056 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. CBOEOPT2 6.54 0.00 0.00 0.00 10.16 0.00 0.0000 0.00 0.0000 0.00 0.0000 36.25 0.8056 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. MCRYOPT 6.54 0.00 0.00 0.00 10.16 0.00 0.0000 0.00 0.0000 0.00 0.0000 36.25 0.8056 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. PHLXOPT2 6.54 0.00 0.00 0.00 10.16 0.00 0.0000 0.00 0.0000 0.00 0.0000 36.25 0.8056 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 2026 03 100.00 38.19 6.02 33.98 21.81 CITADEL SECURITIES LLC 70.69 81.63 59.21 56.33 77.09 77.76 5.9624 58.32 4.9596 861.00 71.8128 360.86 29.8325 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 13.97 1.42 35.02 28.96 6.77 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 7.80 0.00 5.05 13.62 13.15 0.00 0.0000 134.20 5.0004 2041.55 81.0001 1265.00 49.9929 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 28.98 8.71 31.54 30.77 CITADEL SECURITIES LLC 70.68 82.50 70.70 64.26 66.14 2754.41 129.3685 709.56 54.7986 2335.23 161.4947 2344.95 63.3074 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. The Nasdaq Stock Market 12.58 0.58 5.69 23.47 14.67 153.36 6.0000 450.48 18.0000 6728.48 267.9997 4102.00 234.7528 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. CODA MARKETS INC 6.38 0.87 9.93 0.07 17.03 104.63 6.0000 357.49 20.0000 0.00 0.0000 2166.74 124.0001 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. UBS Securities, LLC 4.91 1.64 12.11 9.56 1.20 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time. 100.00 0.20 52.24 36.79 10.98 CITADEL SECURITIES LLC 94.31 100.00 100.00 100.00 48.15 44.10 20.4167 23199.00 30.5499 26059.50 48.7504 4389.00 57.0667 Maxim Group LLC (“MAXM” of “the Firm”) does not receive payment for held order flow and does not have any profit-sharing agreements or arrangements with the venue, written or oral, that may influence the Firm’s order routing decisions. In order to access a wide variety of execution venues, MAXM does participate in the maker/taker model. Certain exchanges and other trading centers to which the Firm routes equities and options order to, have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a fee for orders that take liquidity from the venue and provided a rebate for orders that add liquidity to the venue. Rebates received by the Firm from a venue during any time may or may not exceed the fees paid by Firm to the venue during that time period. Fees and/or rebates are set by the venue and are subject to change at any time.