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TradeStation Securities, Inc. (“TradeStation”) is required to provide you with the following disclosures.
TradeStation is a member of the Securities Investor Protection Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC Brochure, by contacting SIPC at (202) 372-8300 or www.sipc.org.
Upon your request, TradeStation will provide you with the identity of the market center(s) to which each of your orders in Covered Securities have been routed for execution during the six months prior to your request; advise you as to whether such orders were directed or non-directed; and provide you with the execution times, if any, that resulted from such orders.
In addition, U.S. Securities and Exchange Commission rules require all brokerage firms to make publicly available quarterly reports describing their order routing practices. TradeStation’s quarterly order routing reports are available using the “SEC Rule 606 Report” link on our website at SEC Rule.
FINRA’s BrokerCheck Hotline provides certain information regarding the disciplinary history of FINRA members and their associated persons in response to written inquiries, electronic inquiries, or telephonic inquiries via FINRA’s (1) toll-free telephone listing (1-800-289-9999), or (2) website (www.finra.org). Additionally, FINRA has prepared an investor brochure that includes information describing BrokerCheck.
TradeStation is required to inform its customers of the National Futures Association ("NFA") Background Affiliation Status Information Center ("BASIC"). The BASIC system compiles various information regarding registrants and anyone can access this system on the Internet. The NFA BASIC system may be accessed at www.nfa.futures.org/basicnet/. To locate information on a registrant, simply enter the registrant's NFA ID number or name when prompted. For questions regarding this system, you may contact the NFA information center at 1-800-621-3570 between the hours of 8:00 a.m. to 5:00 p.m. CST.
Pursuant to FINRA Rule 2264, TradeStation Securities, Inc. (“TradeStation”) is furnishing this document to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review the margin agreement provided by TradeStation. Consult your TradeStation account representative regarding any questions or concerns you may have with your margin accounts.
When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from your brokerage firm. If you choose to borrow funds from your firm, you will open a margin account with the firm. The securities purchased are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities in any of your accounts held with the member, in order to maintain the required equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following:
Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver and improve service to you. Such service includes processing transactions requested by you, providing you with trading software analysis tools (and related educational, training and support), and administering our business.
How We Gather Information: We get most Information directly from you, when you apply for, access and use financial (and related) products and services offered by TradeStation through its affiliated companies and its business partners—whether in person, by telephone or electronically. We may verify this information or get additional information from consumer or investigative reporting agencies or public sources. This Information may relate to your finances, employment, avocations or other personal characteristics, as well as transactions and interactions between or among our affiliated companies or others. The personal information we collect may include your name, address, telephone number, email address, Social Security number and date of birth, as well as details about your professional affiliations, net worth, income, investments and investment experience. In addition, Web tools are used on our Web site to help us monitor traffic patterns and to see how the user navigates through our site. These Web tools are used by us and our affiliates for internal purposes only and are not used to collect or disseminate personal information to any third party.
Disclosure of Information: We do not disclose any nonpublic information about our customers or former customers to anyone, except as required or permitted by law. We may disclose any Information to or as directed by our securities affiliate’s clearing firm(s) or when we believe it necessary for the conduct of our business, or where disclosure is required or permitted by law. Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies, for example, to help us prevent fraud. In addition, we may disclose Information to affiliated and non-affiliated third party service providers (i) to enable them to provide business services for us or our securities affiliate’s clearing firm(s), such as performing computer related or data maintenance or processing services, (ii) to facilitate the processing of transactions requested by you, (iii) to assist us in offering products and services to you or to assist our clearing firm in offering products and services to you, or (iv) for credit or other background review and reporting purposes. Except in those specific, limited situations, without your consent we will not make any disclosures of Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company. It is TradeStation's policy to require all third parties that are to receive any Information, other than our securities affiliate’s clearing firm(s), to sign strict confidentiality agreements.
Non Affiliates: Current law allows you to limit the sharing of Information with nonaffiliated third parties under certain circumstances. Since we do not currently share your Information with nonaffiliated third parties, other than as described in this policy, there is no need for you to opt-out.
Affiliates: Current law allows you to limit the sharing of certain Information among our affiliates, including creditworthiness information and, under some circumstances, Information for marketing products and services to you. We currently do not share creditworthiness information with our affiliates so it is not necessary for you to opt out in that regard. Sometimes we do share your Information between and among our affiliates for marketing offers which relate to products and services we believe could enhance or improve your experience as our customer. You may ask us not to share your Information, for marketing purposes, with any TradeStation affiliate with whom you do not do business by following the opt-out procedure below.
To opt out, contact our Client Service Department at (800) 822-0512 or (954) 652-7900.
Your election to limit marketing offers from our affiliates will apply unless and until you request that we change your choice.
State Considerations: The practices described above are in accordance with federal law. You may have other protections under applicable state laws, such as those in Vermont and Nevada. To the extent these state laws apply, we will comply with them if we share your Information. For example, Vermont law places additional limits on sharing Information about Vermont residents so we will not share Information we collect about Vermont residents to companies outside of TradeStation, except:
Nevada Law. At any time, you may request to be placed on TradeStation’s internal do not call list. Nevada law also requires that we provide you with the following contact information:
8050 SW 10th Street, Ste 2000
Plantation, Florida 33324
Bureau of Consumer Protection
Office of the Nevada Attorney General
555 E. Washington Street, Suite 3900
Las Vegas, Nevada 89101
Access to and Correction of Information: If you desire to review any file we may maintain for your personal Information, please contact us. If you notify us that any Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in future disclosures of the disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
The TradeStation Team