Legal
Disclosures
BrokerCheck by FINRA
Apex Clearing Disclosures
Acceptance of Orders and Executions of Transactions
Affiliate Order Routing
Agency and Principal Transactions
Apex Direct Customer Information Brochure
Apex Direct Misc Services Fee Sheet (11.2024)
Annual Disclosure Statement 2024
Apex FDIC-Insured Sweep Program Participating Bank List
Apex FDIC-Insured Sweep Program Terms and Conditions
Apex FPSL MSLA 2023 (pdf)
Apex FPSL Risk Disclosure 2023 (pdf)
Apex SEC Rule 606 and 607
Apex Statement of Financial Condition – Audited – December 2024
Apex Statement of Financial Condition – Audited – December 2023
Apex Statement of Financial Condition – Audited – December 2022
Apex Statement of Financial Condition – Unaudited – June 2024
Apex Statement of Financial Condition – Unaudited – June 2023
Business Continuity Plan
Business Continuity Plan Disclosure
Callable Securities
Carrying Agreements
Characteristics and Risks of Standardized Options
Class Action Service Summary
Commissions and Other Fees
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
Fractional Bond Trading Disclosure
Fully Paid Lending Trust Agreement
GTC Orders, Cancellations, and Price Adjustments
Investor Education and Protection
JP Morgan US Treasury Plus Money Market Fund (IJTXX) Prospectus
Large Trader
Low Priced Securities
Margin Risk Disclosure Statement – IBD
Margin Risk Disclosure Statement – RIA
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
SIPC Information
Social Media Disclosures, Disclaimers, and Fine Print
Stop Orders
Apex Clearing Futures Disclosures