Order Routing

The U.S. Securities and Exchange Commission (SEC) adopted new rules in an effort to improve public disclosure of order execution and routing practices. As a result, broker/dealers must, on a quarterly basis, disclose the identity of the market centers to which they route a significant percentage of their orders and the nature of their relationships with such market centers. Finally, brokers must respond to the requests of customers interested in learning where their individual orders were routed for execution during the previous six months.


To access Cadaret, Grant’s most recent quarterly report, please visit www.orderroutingdisclosure.com and enter CADARET GRANT CO INC as the name of the broker/dealer. Then, choose the section you wish to review. Please note, the firm name must be entered exactly as it is shown above in order to review the report. If you have any difficulty accessing the Web site, please contact the Cadaret, Grant Compliance Department at 800.288.8601.

Doug Ketterer

Chief Executive Officer and Founding Partner

The vision and influence to advance an industry. Doug is passionate about the value of personal advice. He believes that customized solutions created by one advisor, working with one client, aren’t just the core of wealth management—but the key to its future. A well-known Wall Street thought leader with over 30 years in the industry, Doug is a sought-after source of ideas that elevate the advisor-client experience. With insight gained as a long-time Morgan Stanley executive, and a clear-eyed commitment to the principles he preaches, Doug is in the right place to lead Atria, its subsidiaries—and the advisors they serve—to a better future.