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Upcoming Events - Wealth Management Workshops, Investment Insights, Industry Teleconferences and Economic Commentary
Upcoming Events - Wealth Management Workshops, Investment Insights, Industry Teleconferences and Economic Commentary

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The latest news from SFA

Symphonic Support of CAPA - 35th Anniversary Symphonic supports local child abuse prevention
Shelly Hall-Peterson hosted a table of guests for the 35th Anniversary Celebration and Fundraiser for CAPA (Child Abuse Prevention Association)...[More]

Common Financial Mistakes Made by Women in Marriage
article by Mary Schwartz, CFP(R), as published in the July 2009 issue of Wisconsin Women Magazine...[More]

Kansas City's 2009 FIVE STAR Wealth Managers Survey recognizes two Symphonic Advisors.
D. Marc Brookings, CMFC, AIF(R) and Shelly Hall-Peterson, AIF(R)...[More]

The letter regarding the recent market turmoil
from Rochdale’s Chief Executive Officer & President, Garrett R. D’Alessandro, CFA, AIF®...[More]

SFA on Radio, News/Talk 1310 WIBA in Madison, WI...[More]

Symphonic Financial Advisors Sponsor Kansas City Symphony...[More]

Money Makeover- What to Do With a Financial Windfall
by Mary Schwartz, Symphonic Financial Advisor, as published in the March 2007 issue of Wisconsin Women Magazine...[More]

 
 

Routing of Customers Orders



Symphonic Securities, Symphonic Financial Advisor's broker/dealer, is committed to providing the best execution for your orders.  When determining where to send orders for a client's account, we take a number of factors into consideration, including:  execution price and opportunity for price improvement, order size, speed and accuracy of the execution, the availability of efficient and reliable order handling systems, the level of service provided, and the cost of executing orders at a particular market center.  These factors are a "cost" of investing that can influence portfolio returns beyond the stated commission rate.

In conformance with SEC Rule 606 (formerly SEC 11Ac1-6), Symphonic Securities makes available quarterly reports that provide a general overview of order routing practices.  To see a report for a particular period, please click on the date link below.   

Quarter Ended

June 30, 2010

March 31, 2010

December 31, 2009

September 30, 2009

June 30, 2009

March 31, 2009

December 31, 2008

September 30, 2008

June 30, 2008

March 31, 2008

December 31, 2007

September 30, 2007

 
 

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