Professional Standard of Conduct and Code of Ethics
The nature of our business places all employees in a position of trust with our clients. The foundation of this trust is confidentiality, honesty and integrity. Ethics are the standards of conduct and moral behavior as defined by society. We believe that ethical behavior goes beyond the law and regulations to a basic principal that our clients' interests are first, and activities that might be deemed to put personal interests or those of the firm ahead of our clients' interests are not acceptable. We will treat colleagues, vendors and competitors with respect, recognizing that at times there will be professional differences. We have adopted a set of standards to assure that each of us meet our responsibilities with integrity and professionalism. These standards are in addition to the Code of Ethics required under Rule 204.2(a)(12) of the Investment Advisors Act of 1940 as amended (Investment Advisors Act). If you would like a copy of our Code of Ethics, please contact your representative.
Terms of Use
By using this site, you signify your assent to, and agree to be bound by, the following terms and conditions. You should read these conditions carefully before using this site, and if you do not agree to these terms, you should exit this site. These terms may be amended at any time. Cleary Gull Inc. provides this site for informational purposes. Nothing on this site should be construed as an offer or solicitation to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service.
The information on this site is provided "as is". Cleary Gull Inc. does not warrant the accuracy of the materials provided herein, either expressly or by implication, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. Cleary Gull Inc. will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site.
Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, Cleary Gull Inc. cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.
Neither Cleary Gull Inc., nor any of its affiliates, directors, officers or employees, nor any third party vendor will be liable or have any responsibility of any kind for any loss or damage, of any kind or nature, that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or such data, whether or not the circumstances giving rise to such cause may have been within the control of Cleary Gull Inc. or of any vendor providing software or services support. In no event will Cleary Gull Inc., its affiliates or any such parties be liable to you for any direct, special, indirect, consequential, incidental damages or any other damages of any kind even if Cleary Gull Inc. or any other party have been advised of the possibility thereof.
Cleary Gull Inc. owns this website, and permission is given to display and navigate this site for personal use only. You may download material displayed on this site for non-commercial, personal use only, provided you also retain all copyright and other proprietary notices contained on the materials.
If you leave this site via a link contained herein, you do so at your own risk. The content to which you link will not have been developed, checked for accuracy, or otherwise reviewed by Cleary Gull Inc.. Cleary Gull Inc. is not responsible for damages or losses caused by any delays, defects or omissions that may exist in the services, information or other content provided in such site, whether actual, alleged, consequential or punitive. Cleary Gull Inc. makes no guarantees or representations as to, and shall have no liability for, any electronic content delivered by any third party, including, without limitation, the accuracy, subject matter, quality or timeliness of any electronic content.
Cleary Gull Inc. respects the intellectual property of others and asks that you do the same. If you believe that your copyrighted work is accessible on this site in a way that constitutes copyright infringement, you may notify us by providing our Copyright Agent with the following information: 1) the electronic or physical signature of the owner of the copyright or of the person authorized to act on the owner's behalf; 2) a description of the copyrighted work that has allegedly been infringed; 3) identification of the specific location on this site where that work is located; 5) your name, address, telephone number, and email address; 6) a statement by you, made under penalty of perjury, that the above information in your notice is accurate and that you are the copyright owner or authorized to act on the copyright owner's behalf. The agent of Cleary Gull Inc. for claims of copyright infringement on this site is wbraun@clearygull.com.
These Terms of Use shall be governed by and construed in accordance with the laws of Wisconsin, without giving effect to any principles of conflicts of law. If you take legal action arising out of or relating to these terms and conditions, you agree to file such action only in the state or federal courts, and you hereby consent and submit to the personal jurisdiction of such courts for the purposes of litigating any such action. If any provision of these terms is deemed unlawful, void, or for any reason unenforceable, then that provision shall be deemed severable from these terms and shall not affect the validity and enforceability of any remaining provisions. This is the entire agreement between Cleary Gull Holdings Inc. and the user relating to the subject matter herein.
Order Routing Information
SEC Rule 606 requires all broker-dealers that route orders on behalf of customers to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the customer orders were routed for execution and disclose the material aspects of the broker-dealer’s relationship with such venues.
Cleary Gull routes the majority of equity transactions to RBC and has determined that the RBC order routing is representative of Cleary Gull customer transactions.
Please click here to view the RBC Report on Routing of Customer Orders for the current quarter.
Customer Request for Order Routing Information
Upon request, Cleary Gull will provide you with the identity of the venue to which your orders were routed for execution in the six months prior to the requests, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.
Cleary Gull Inc.
100 East Wisconsin Avenue
Suite 2400
Milwaukee, WI 53202