SEC Rule 605 - Order Execution 

Dougherty & Company LLC has engaged the services of a vendor to compile and save the required information.    Click here to view this information..

SEC Rule 606 - Order Handling Practices 

Dougherty & Company LLC has engaged the services of a vendor to compile and save the required information.    Click here to view this information.

Order routing information is available upon request. All institutional equity orders routed to Dougherty & Company LLC are not held orders, unless requested otherwise.

We are a fully disclosed broker dealer and intend to route all covered orders (by definition of SEC Rule 605) to our clearing broker for execution of further routing to an executing market center.  Our objective is to obtain best execution for our clients and we regularly and rigorously evaluate the execution received.