Disclosures

Table of Contents

BrokerCheck by FINRA

BrokerCheck by FINRA

Apex Clearing Disclosures

Acceptance of Orders and Executions of Transactions
Affiliate Order Routing
Agency and Principal Transactions
Annual Disclosure Statement 2022
Apex FDIC-Insured Sweep Program Bank List (pdf)
Apex FPSL MSLA 2021 (pdf)
Apex Statement of Financial Condition - December - 2022 (pdf)
Apex Statement of Financial Condition – Unaudited – June 2022 (pdf)
Business Continuity Plan
Business Continuity Plan Disclosure
Callable Securities
Carrying Agreements
Characteristics and Risks of Standardized Options
Commissions and Other Fees
Cryptocurrency Risk
Customer Information Brochure for Customers of Introducing Brokers
Customer Information Brochure for Customers Using Registered Investment Advisors
Day Trading Risk Disclosure Statement
Exchange Traded Products (ETPs)
Extended Hours Trading Risk Disclosure
Form CRS
Fractional Shares
FDIC Terms and Conditions (pdf)
Fully Paid Lending Trust Agreement
Fully Paid Securities Lending Program Disclosure 2022
GTC Orders, Cancellations, and Price Adjustments
Investor Education and Protection
Large Trader
Low Priced Securities
Margin Risk Disclosure Statement
Market Volatility
Non-Bank Custodian Approval (pdf)
Payment for Order Flow and Order Routing Information
Portfolio Margining Risk Disclosure Statement
Responsibilities of Introducing Broker and Clearing Broker
Risk Disclosure for Uncovered Option Writers
Safety of Customer Assets (pdf)
SIPC Information
Social Media Disclosures, Disclaimers, and Fine Print
Stop Orders

Apex Clearing Futures Disclosures

Futures Disclosures

Apex CODA

Disclosure
Clearly Erroneous Trade Policy
Business Continuity Plan
AML Policy
Extended Trading Hours
Order Execution-S3
Order Execution-Karn
Form ATS-N
Regulatory Filings
Trade Data

Apex Crypto

Apex Crypto Risk Disclosures - September 2022