Our Clearing Capabilities
Execution and follow-up procedures for your financial transactions are of utmost importance. Scott & Stringfellow emphasizes the need to communicate investment ideas effectively to our clients and to execute your instructions quickly and efficiently. With one of the most comprehensive data processing software packages available in the securities industry, we are able to interface with all quotation and communication systems so client information is readily available to financial advisors, which allows us to better serve our clients.

Execution Reporting
Scott & Stringfellow is providing our clients with information regarding order routing and trade execution. This information generally involves securities which are referred to as “National Market System Securities.” This trade information is intended to greatly increase the opportunity for public investors to evaluate the processing of their orders. The information is presented in a standardized statistical format that has been mandated by the Securities and Exchange Commission. The information is compiled into electronic data files and categorized by security into tables of information which investors can access by clicking on the following hyperlink to the Transaction Audit Group (“TAG”) Execution Reports: Rule 5 Rule 6.

The statistical information is provided on a monthly basis for each security that we do business in, both on our clients’ behalf and in our own accounts as a market maker. On any given trading day in a month a client can see the five different types of orders and the four categories of order sizes that the SEC has mandated. Thereafter, the client can see how long it took us to execute the order, whether we executed the order as a market maker, or we routed the order to another market for execution.

If you have questions regarding the information displayed regarding orders we have handled please contact us at webmaster@scottstringfellow.com