Securities trading is offered to self-directed customers by Securefinance Financial LLC, a broker
dealer
registered with the Securities and Exchange Commission (SEC). Securefinance Financial LLC is a member
of
the
Financial Industry Regulatory Authority (FINRA), Securities Investor Protection Corporation (SIPC), The New York Stock Exchange (NYSE), NASDAQ and Cboe EDGX Exchange, Inc (CBOE EDGX).
Securefinance Financial LLC is a CFTC registered Futures Commission Merchant with the Commodity Futures
Trading
Commission (CFTC) and a Member of the National Futures Association (NFA). Futures and futures options trading
involves substantial risk and is not suitable for all investors. Please read the Risk Disclosure
Statement and other relevant Futures Disclosures located at www.https://securefinance.us/fcm-disclosures prior to trading
futures
products. Futures accounts are not protected by the Securities Investor Protection Corporation
(SIPC).
Advisory accounts and services are provided by Securefinance Advisors LLC (also known as "Securefinance Advisors").
Securefinance Advisors is an Investment Advisor registered with and regulated by the SEC under the
Investment
Advisors Act of 1940. Registration does not imply a level of skill or training. See additional
information on the Disclosures webpage. Trades in your Securefinance Advisors account are executed by
Securefinance Financial LLC.
Account Protection: SIPC and Excess SIPC Coverage
Client securities accounts at Securefinance Financial LLC are protected by the Securities Investor
Protection
Corporation ("SIPC") for a maximum coverage of $500,000 (with a cash sublimit of $250,000). In
addition,
Securefinance offers clients Excess SIPC coverage based on the clearing arrangement: For securities
accounts
under the omnibus clearing relationship with Apex, Securefinance carries an excess SIPC policy with
certain
underwriters at Lloyd's of London, which extends per account coverage for securities and cash up to
an
aggregate of $100 million, subject to a maximum limit of $1,900,000 for any one customer's
cash.
Securities positions are not subject to any per account sublimit. (ii) For securities accounts that
are
fully-disclosed to the clearing firm, Apex has purchased an additional insurance policy. The
coverage
limits provide protection for securities and cash up to an aggregate of $150 million, subject to
maximum
limits of $37.5 million for any one customer's securities and $900,000 for any one customer's cash.
For the purpose of determining a Securefinance Financial LLC covered account, accounts with like names
and
titles are combined, but accounts with different titles are not (e.g. Individual/John Doe and
IRA/John
Doe). Futures and other assets held outside the securities account are not covered. SIPC and Excess
SIPC
Protections do not protect against a loss in the market value of securities.
SIPC is a non-profit, membership corporation funded by broker-dealers that are members of SIPC. For
more
information about SIPC and answers to frequently asked questions please refer to the following
websites:
(i) http://www.SIPC.org (ii) https://www.finra.org/investors/have-problem/your-rights-under-sipc-protection=
Options trading entails significant risk and is not appropriate for all investors. Option investors
can
rapidly lose the value of their investment in a short period of time and incur permanent loss by
expiration date. Losses can potentially exceed the initial required deposit. You need to complete an
options trading application and get approval on eligible accounts. Please read the Characteristics and Risks of Standardized
Options before trading options.
All investments involve risk, and not all risks are suitable for every investor. The value of
securities
may fluctuate and as a result, clients may lose more than their original investment. The past
performance of a security, or financial product does not guarantee future results or returns. Keep
in
mind that while diversification may help spread risk, it does not assure a profit or protect against
loss in a down market. There is always the potential of losing money when you invest in securities
or
other financial products. Investors should consider their investment objectives and risks carefully
before investing.
Diversification does not eliminate the risk of experiencing investment losses. Margin trading
increases
risk of loss and includes the possibility of a forced sale if account equity drops below required
levels. Margin is not available in all account types. Margin trading privileges are subject to
Securefinance Financial, LLC review and approval. Leverage carries a high level of risk and is not suitable for
all
investors. Greater leverage creates greater losses in the event of adverse market movements.
Investors should be aware that system response, execution price, speed, liquidity, market data, and
account access times are affected by many factors, including market volatility, size and type of
order,
market conditions, system performance, and other factors. Market volatility, volume and system
availability may delay account access and trade executions.
Free trading of stocks, ETFs, and options refers to $0 commissions for Securefinance Financial LLC
self-directed individual cash or margin brokerage accounts and IRAs that trade U.S. listed
securities
via mobile devices, desktop or website products. A $0.55 per contract fee applies for certain
index
options and a $0.10 per contract fee applies for oversized option orders. Relevant regulatory
and
exchange fees may apply. Please refer to our Fee Schedule for more details.
No content on the Securefinance Financial LLC website shall be considered as a recommendation or
solicitation
for the purchase or sale of securities, options, or other investment products. All information and
data
on the website is for reference only and no historical data shall be considered as the basis for
judging
future trends.
