When you use TCFG Wealth Management, LLC as your broker/dealer, you entrust us not only with your hard-earned assets but also with your personal and financial data. We consider your data to be private and confidential, and we hold ourselves to the highest standards of trust in their safekeeping and use.
TCFG Wealth Management, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
SEC Rule 606
Order Routing Disclosure
SEC Rule 606 (“the Rule”) 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. The reports must identify the significant venues to which customer orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues. In addition, the Rule requires broker-dealers to disclose, on customer request, the venues to which the customer’s individual orders were routed.
In addition, broker-dealers must respond to customer request for individual information on customer orders that were routed for execution in the six months prior to the request, whether the orders were directed or non-directed, and the time of the transactions, if any, that resulted from such orders.