Pflueger & Baerwald Inc.

SEC Rule 606
Disclosure of Order Routing Practices

Pflueger & Baerwald is currently exempt from the public posting requirement of SEC Regulation NMS Rule 606, under the de minimis exemption. This exemption is generally available to broker-dealers that have routed on average 500 or fewer customer orders in covered securities per month during the preceding calendar quarter.

Pflueger & Baerwald will disclose to any client, 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. To request order routing information, please contact your financial advisor.

Some broker-dealers receive remuneration for directing orders to particular broker-dealers or market centers for execution. This is commonly referred to as payment for order flow. When such remuneration is received, it is considered compensation to the broker-dealer and the source and amount of any such compensation received by the broker-dealer must be provided upon request. SEC regulations require us to disclose to you that we do not presently receive payment for order flow.

Investments since 1911

Member FINRA and SIPC

Copyright 2006 LoadFoO [V1]. Designed by LoadFoO. Valid CSS & XHTML