ViewTrade Securities, Inc. (“ViewTrade” or the “Firm”) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA). Brokerage and investment advisory services and fees differ, and it is important for you to understand the differences. Free and simple tools are available to research different firms and financial professionals atInvestor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
Our brokerage services include the buying and selling of securities and investment products. These include stocks, bonds, options, mutual funds, variable annuities, and more. If you open a brokerage account, you will pay us a transaction‐based fee, generally referred to as a commission, every time you buy or sell an investment. There is no minimum amount required to open an investment account, but we may recommend some investments which require a minimum investment.
When we provide brokerage services, we may recommend investments, or you may select them, but the ultimate decision regarding an investment strategy or the purchase or sale of an investment will be yours. Although we do not provide ongoing monitoring of your account, we will review your account before every recommendation to ensure we act in your best interest.
Through our clearing Firm we will provide you with account statements on a quarterly or monthly basis. We may be able to provide you with additional services to help you reach your goals, but you may pay more.
It is important to understand our products and services are limited as there are other account types and investment products which we do not offer that may benefit your portfolio. In addition, there could be other firms who offer the same or similar investment options or services for a lower cost.
For more detailed information on the products and services we offer, including limitations, visit https://www.viewtrade.com/l/reg-bi
When you transact in a brokerage account, you will pay a transaction-based fee. This fee is based on the specific transaction, not the value of your account. With certain investments such as stocks or exchange-traded funds this fee is called a commission. For other investments, such as a bond, this fee might be part of the price you pay for the investment, which is also known as “mark-up” or “mark-down”. With mutual funds this fee is usually referred to as a “load” and reduces the value of your investment.
Certain investments, such as mutual funds also impose additional fees that will reduce the value of your investment over time. Also, with certain investments you may have to pay fees, such as surrender charges, when you sell the investment. From a cost perspective, you may prefer a transaction‐based fee if you do not trade often or if you plan to buy and hold investments for longer periods of time. In a brokerage account, more transactions result in us charging you more fees. Therefore, we could have an incentive to encourage you to engage in transactions. You may also pay other fees for things like account maintenance and wire transfers.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
For more detailed information regarding fees and cost of your account visit: https://www.viewtrade.com/l/reg-bi
When we provide you with a recommendation, we must act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations, we provide you. Here are some examples to help you understand what this means.
In a brokerage account, when our interests’ conflict with your interests, we must tell you about them and, in some cases, take steps to reduce or eliminate these conflicts. Conflicts may result in you paying more for your investments that you would if the conflict did not exist.
In a brokerage account, we make money by buying and selling you securities and investment products. Because we get paid when you complete a transaction, we could have an incentive to encourage you to make larger investments and more frequently. Certain products, such as mutual funds, include continuing payments to us, known as “trails”. We could have an incentive to recommend investment products that include trails, even if other investments available to you have lower costs or may perform better.
We also receive shared revenue and payments from some third parties which incentivizes us to do business with them. For some products we receive higher compensation than on other products. We could have an incentive to encourage you to buy products or investments that pay us more, even if other options might be better for you. We can buy investments from you, and sell investments to you, from our own accounts (called “acting as principal”). We can earn a profit on these trades, so we have an incentive to encourage you to trade with us.
For more detailed information and a complete list of our conflicts of interest and a description of all the ways we make money, visit https://www.viewtrade.com/l/reg-bi
For brokerage accounts, your financial professional is paid a percentage of the selling compensation (commissions, markup, markdowns, loads – as described above) as well as trailing compensation.
Do you or your financial professionals have legal or disciplinary history? Yes, you can visit Investor.gov/CRSfor a free and simple search tool to research more information about our Firm and your financial professiona
You can find additional information regarding our brokerage services by visiting our website, https://www.viewtrade.comIf you need any other up-to-date information or would like a copy of our relationship summary sent to you, call us at (561) 620-0306
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* Market Research, Tools and Opinions are Provided by Third Party Independent Providers.
* Individual, Entity (Corporate, LLC), and IRA Accounts are Eligible to open accounts.
* SEC, FINRA, TAF Regulatory and Exchange Fees are debited to customer account for Stock Trades.
* OCC/ORF, and CBOE Exchange Fees are debited to customer accounts for Options Trades.
* SPX, VIX, RUT, NDX, DJX, NDX, OEX, and XEO CBOE Proprietary Exchange fees are debited to customer brokerage account.
* We reserve the right to debit your account for any venue, routing, or exchange fees without prior notice.
* Click for Exchange, Routing, and Regulatory Fees.
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System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources and circumstances. * Commission rates are negotiated. You may qualify for rates shown based on your activity. Other fees and conditions may apply, please see our commissions and routing fees.
AutoShares® is a Division of ViewTrade Securities, Members FINRA and SIPC. FINRA Brokercheck for Viewtrade Securities. For business development and branch opportunities contact 1-800-847-8495. As a member of the Securities Investor Protection Corporation (SIPC), funds are available to meet customer claims up to a ceiling of $500,000, including a maximum of $250,000 for cash claims. For additional information regarding SIPC coverage, including a brochure, please contact SIPC at (202) 371-8300 or visit www.sipc.org. Our Clearing firm has purchased an additional insurance policy through a group of London Underwriters (with Lloyd's of London Syndicates as the Lead Underwriter) to supplement SIPC protection. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted and provides protection for securities and cash up to an aggregate of $600 million. This is provided to pay amounts in addition to those returned in a SIPC liquidation. This additional insurance policy is limited to a combined return to any customer from a Trustee, SIPC and London Underwriters of $150 million, including cash of up to $2.15 million. Similar to SIPC protection, this additional insurance does not protect against a loss in the market value of securities.
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