Privacy & Legal
AFS Privacy Policies
Consumer Privacy Notice
If you are an individual who has an account with (or has applied for an account with) Apex Clearing Corporation through one of the introducing brokers, registered investment advisors or other financial institutions we service, this privacy notice describes how we collect, disclose and protect your personal information in connection with that relationship.
Consumer Privacy Notice
Apex US Consumer Privacy Notice
LAST UPDATED: October 31, 2023
This Privacy Notice describes how Apex Clearing Corporation, as part of the Apex Fintech Solutions group of companies, (“Apex,” “we,” “us,” “our”) collects, discloses, and protects your personal information. Apex carries your account as a clearing broker by arrangement with your broker/dealer or registered investment advisor as Apex’s introducing client. Please note that this notice generally applies to former customers of Apex as well as current customers.
Personal Information Collected
In order to service your account as clearing broker, information is provided to Apex by your introducing firm who collects information from you in order to provide the financial services that you have requested. Apex also collects information from other third parties and when it provides services to you. The information may include:
- Information received from you, such as your name, address, telephone number, social security number, occupation, and income
- Information relating to your transactions, including account balances, positions, and activity
- Information which may be received from consumer reporting agencies, such as credit bureau reports
- Information relating to your creditworthiness
- Information which may be received from other sources with your consent or with the consent of your introducing firm
In addition, Apex may compile aggregate, anonymous, or de‐identified data from various sources, including but not limited to accounts and transactions. This data, which Apex may use for its business purposes consistent with applicable law, does not identify individual customers.
Sharing of Nonpublic Personal Information
Apex does not disclose your nonpublic personal information to any nonaffiliated third parties, except as required or permitted by law and for our everyday business purposes, including but not limited to any obligations of Apex under the USA PATRIOT Act, and to facilitate the clearing of customer transactions in the ordinary course of business. We may disclose all of the types of non-public personal information that we collect about you.
Apex has multiple affiliates and relationships with third party companies. Examples of these companies include financial and non‐financial companies that perform services such as data processing and companies that perform securities executions on your behalf. Our affiliates include companies with an Apex or PEAK6 name and CODA Markets Inc. Apex may share information among its affiliates, as permitted by law and for our everyday business purposes, to better service your financial needs or to improve or expand our services and products.
We do not share your personal information in any manner that you have a right to limit under applicable US laws.
Apex implements and maintains reasonable security practices appropriate to the nature of the personal information we collect. These include administrative, technical, physical, and electronic safeguards designed to protect personal information from unauthorized or illegal access, destruction, use, modification, or disclosure. Among other things, we implement access control mechanisms to control our employees’ access to systems and data, including non-public personal information.
Access to Your Information
You may access your account information through a variety of media offered by your introducing firm and Apex (i.e. statements or online services). Please contact your introducing firm if you require any additional information.
Changes to this Privacy Notice
Apex reserves the right to make changes to this notice.
How to Get in Touch with Apex about this Privacy Notice
For reference, this Privacy Notice is available on our website at www.apexfintechsolutions.com/privacy
For more information relating to this Privacy Notice please contact us through one of the following channels:
By Electronic Means
Please visit the Contact Us section of our website at www.apexfintechsolutions.com/contact-us and follow the instructions to contact Apex Support.
Apex Fintech Solutions
Attn: Privacy Department
350 N. St. Paul St., Suite 1300
Dallas, Texas 75201
Online Privacy Notice
This Online Privacy Notice describes the types of information we may collect from you or that you may provide to us when visiting or otherwise interacting with our websites and how we use, protect and disclose that information.
Online Privacy Notice
LAST UPDATED: March 26, 2021
Apex Fintech Solutions LLC (“Company” or “We”) respect your privacy and are committed to protecting it through our compliance with this policy.
This policy describes the types of information we may collect from you or that you may provide when you visit the website apexfintechsolutions.com (the “Website“) and our practices for collecting, using, maintaining, protecting, and disclosing that information.
This policy applies to information we collect:
- On the Website.
- In email, text, and other electronic messages between you and the Website or the Company.
It does not apply to information collected by:
- Us offline or through any other means, including on any other website operated by Company or any third party; or
- Any third party, including through any application or content (including advertising) that may link to or be accessible from or on the Website.
Children Under the Age of 13
Our Website is not intended for children under 13 years of age. No one under age 13 may provide any information to or on the Website. We do not knowingly collect personal information from children under 13. If you are under 13, do not use or provide any information to the Website or through any of their features. If we learn we have collected or received personal information from a child under 13 without verification of parental consent, we will delete that information.
Information We Collect About You and How We Collect It
We collect several types of information from and about users of our Website, including information:
- By which you may be personally identified by, such as name, postal address, e-mail address, telephone number, or any other identifier by which you may be contacted online or offline (“personal information“);
- That is about you but individually does not identify you; and/or
- About your internet connection, the equipment you use to access our Website, and usage details.
We collect this information:
- Directly from you when you provide it to us.
- Automatically as you navigate through the site. Information collected automatically may include usage details, IP addresses, and information collected through cookies.
Information You Provide to Us.
The information we collect on or through our Website may include:
- Information that you provide by filling in forms on our Website. This includes information provided at the time of signing up to our Website or subscribing to any available promotional content. We may also ask you for information if you report a problem with our Website.
- Records and copies of your correspondence (including email addresses), if you contact us or participate in events.
Information We Collect Through Automatic Data Collection Technologies.
As you navigate through and interact with our Website, we may use automatic data collection technologies to collect certain information about your equipment, browsing actions, and patterns, including:
- Details of your visits to our Website, including traffic data, location data, logs, and other communication data and any resources that you access and use on the Website.
- Information about your computer and internet connection, including your IP address, operating system, and browser type.
The information we collect automatically may include personal information. It helps us to improve our Website.
The technologies we use for this automatic data collection may include:
- Flash Cookies. Certain features of our Website may use local stored objects (or Flash cookies) to collect and store information about your preferences and navigation to, from, and on our Website. Flash cookies are not managed by the same browser settings as are used for browser cookies. For information about managing your privacy and security settings for Flash cookies, see Choices About How We Use and Disclose Your Information.
We do not control these third parties’ tracking technologies or how they may be used. If you have any questions about an advertisement or other targeted content, you should contact the responsible provider directly. For information about how you can opt out of receiving targeted advertising from many providers, see Choices About How We Use and Disclose Your Information.
How We Use Your Information
We do not sell any of your personal information. We use information that we collect about you or that you provide to us, including any personal information:
- To present our Website and their content to you.
- To provide you with information.
- To fulfill any purpose for which you provide it.
- To carry out our obligations and enforce our rights arising from any contracts entered into between you and us.
- To notify you about changes to our Website or any products or services we offer or provide though it.
- In any other way we may describe when you provide the information.
- For any other purpose with your consent.
Disclosure of Your Information
We may disclose aggregated information about our users, and information that does not identify any individual, without restriction.
- To our subsidiaries and affiliates.
- To contractors, service providers, and other third parties we use to support our business and who are bound by contractual obligations to keep personal information confidential and use it only for the purposes for which we disclose it to them.
- To a buyer or other successor in the event of a merger, divestiture, restructuring, reorganization, dissolution, or other sale or transfer of some or all of Apex Fintech Solutions LLC’s assets, whether as a going concern or as part of bankruptcy, liquidation, or similar proceeding, in which personal information held by Apex Fintech Solutions LLC about our Website users is among the assets transferred.
- To fulfill the purpose for which you provide it.
- For any other purpose disclosed by us when you provide the information.
We may also disclose your personal information:
- To comply with any court order, law, or legal process, including to respond to any government or regulatory request.
- If we believe disclosure is necessary or appropriate to protect the rights, property, or safety of Apex Fintech Solutions LLC, our customers, or others.
Choices About How We Use and Disclose Your Information
We strive to provide you with choices regarding the personal information you provide to us. We have created mechanisms to provide you with the following control over your information:
- Promotional Offers from the Company. If you do not wish to have your email address used by the Company to promote our own or third parties’ products or services, you can opt out by checking the relevant box located on the form on which we collect your data. If we have sent you a promotional email, you may send us a return email asking to be omitted from future email distributions or use the unsubscribe function at the bottom of the email.
We do not control third parties’ collection or use of your information to serve interest-based advertising. However these third parties may provide you with ways to choose not to have your information collected or used in this way. You can opt out of receiving targeted ads from members of the Network Advertising Initiative (“NAI“) on the NAI’s website.
We have implemented measures designed to secure your personal information from accidental loss and from unauthorized access, use, alteration, and disclosure.
Unfortunately, the transmission of information via the internet is not completely secure. Although we do our best to protect your personal information, we cannot guarantee the security of your personal information transmitted to our Website. Any transmission of personal information is at your own risk. We are not responsible for circumvention of any privacy settings or security measures contained on the Website.
888 7th Avenue, 32nd Floor
New York, NY 10106
LAST UPDATED: March 27, 2021
This website, https://apexfintechsolutions.com (this “Site”), and all contents and materials herein (the “Site Contents”), are copyrighted under the laws of the United States of America and are protected by copyright laws and treaty provisions throughout the world. You may not copy, distribute, transmit, modify, frame, post or link this Site or the Site Contents without prior written consent of Apex Fintech Solutions Inc. (“Apex”), as described below. You may download the Site Contents for personal and non-commercial use, provided that you do not modify or alter such Site Contents in any way, nor delete or change any copyright or trademark notice indicated on this Site. Apex reserves and maintains complete title and full intellectual property rights for Site Contents downloaded from this Site, and no such title or intellectual property rights shall vest or be transferred in any way to you. All trademarks, logos, service marks, trade dress, slogans, copyrighted designs or other brand features of Apex or its affiliated entities are owned by Apex and may only be used pursuant to an explicit license agreement with Apex. No Site Content or any part thereof may be modified, reverse-engineered, reproduced or distributed in any form by any means, or stored in a database or retrieval system, without the prior written consent of Apex. You may not use the Site Content for any unlawful or unauthorized purposes.