Client Login
Western Financial Corporation
600 "B" Street, Suite 2204
San Diego, CA 92101
Tel: (619) 544-0260
Fax: (619) 234-2421
Toll Free: (800) 488-5990
Email: Rick@westfincorp.com
SEC Rule 606
SEC Rule 606 (formerly known as Rule 11Ac 1-6)
Western Financial Corporation (“WFC”) qualifies for an exemption from the disclosure requirements of SEC Rule 606 granted to small broker / dealers by the Securities and Exchange Commission (SEC). Therefore, no report is due at this time.
WFC will, upon request, disclose to its customers the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request and whether those orders were directed or non-directed orders, and the time of the transactions, if any, that resulted from such orders.