SEC Rule 606 Information

SEC Rule 606 requires 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. Transactions effected by Reid & Rudiger are executed and settled through our clearing firm, RBC Correspondent Services (RBC CS), a division of RBC Capital Markets, LLC, and a wholly owned subsidiary of Royal Bank of Canada (RBC), one of the world’s largest banks. RBC CS makes the routing decisions concerning the customer orders routed through them without regard to the identity of Reid & Rudiger as its introducing broker-dealer. RBC CS’s quarterly report reflects the clearing firm’s routing practices on our behalf and may be viewed here:

RBC Wealth Management USA - SEC Order Handling Disclosures

Clearing
R&R utilizes the clearing services of RBC Correspondent Services, a division of RBC Capital Markets, LLC, and a wholly owned subsidiary of Royal Bank of Canada (RBC), one of the world’s largest banks. In that capacity RBC performs centralized cashiering, bookkeeping and execution functions for our clients’ accounts, including the delivery and receipt of all securities transactions and maintaining custody of all client securities and funds.

Memberships
Securities Investor Protection Corporation—SIPC

Financial Industry Regulatory Authority—FINRA

Registered with the Securities and Exchange
Commission—SEC

We are an independent Broker Dealer—not an OSJ