Broker Check

SEC Order Routing Rule

BARRETT & COMPANY
THE WILCOX BUILDING
42 WEYBOSSET STREET
PROVIDENCE. RI 02903

The U.S. Securities and Exchange Commission's Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer's relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.

Barrett & Company enters all equity orders through the order entry system of our clearing broker, National Financial Services LLC; and, with the exception of our clearing broker/introducing broker relationship with National Financial, we have no material relationships with any of the below-referenced venues. We do not receive any compensation or payment for order flow.

Most Recent Quarterly Report

PDF Q2 2020  | XML Q2 2020

Historical Reports

PDF Q1 2020 | XML Q1 2020