COMPLIANCE INFORMATION
We would like our customers to know that we introduce our retail trades through RBC Dain Correspondent Services. RBC Dain Correspondent Services(sm) (RBC Dain CS) is a division of RBC Dain Rauscher Inc. (RBC Dain Rauscher™), and therefore we adopt
their quarterly reports for compliance with SEC Rule 606 as our reports.
It is important to also note that we DO NOT receive payments on order flow on transactions from our customers.
Quarterly reports for compliance with SEC Rule 606 Disclosure of Order Routing can be found by simply clicking this link. You may change the date and view quarterly reports by clicking the tabs on the tops of the folders and scrolling through the dates on the drop-down box on the left.
Emergent Financial will disclose upon written customer request, the venues to which individual orders were sent for execution.
Feel free to contact us anytime with further questions:
Phone: 952-829-1212
Toll Free: 888-824-0248
Fax: 952-829-1220
Emergent Financial Group, Inc.
Member SIPC/FINRA