Clearing Firm Disclosure
Cascade Investment Group, Inc. is an introducing broker-dealer firm that has a clearing firm relationship with RBC Clearing and Custody. RBC Clearing and Custody provides the execution, clearance, and settlement transactions for our clients’ trades. RBC Clearing and Custody is also a financial institution who acts as custodian for our clients’ assets; providing protection against threats and the potential for funds to be lost. RBC Clearing and Custody holds stocks as well as additional assets within both physical and electronic form on behalf of our clients.
Best Execution Reporting
Cascade Investment Group, Inc. is an introducing firm that routes our order flow to our clearing firm, RBC Clearing and Custody. We rely on RBC Clearing and Custody’s regular and rigorous review as long as the statistical results and rationale of the review are fully disclosed to us. We periodically review how RBC Clearing and Custody is conducting that review, as well as the results of that review.
Please click on this link to view the RBC Clearing and Custody Best Execution Reporting