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Brokerage Services offered by State Street Global Markets LLC, is a member of the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), Securities Investor Protection Corporation (SIPC), The New York Stock Exchange (NYSE), NASDAQ, MSRB, and NFA.

 

State Street Global Markets LLC is a Member of the National Futures Association (NFA). Futures and futures options trading involves substantial risk and is not suitable for all investors. Futures accounts are not protected by the Securities Investor Protection Corporation (SIPC).

 

State Street Global Markets, LLC clears through Apex Clearing Corporation. 

 

Account Protection: SIPC accounts at State Street Global Markets LLC are protected by the Securities Investor Protection Corporation ("SIPC") for a maximum coverage of $500,000 (with a cash sublimit of $250,000). Futures and other assets held outside the securities account are not covered. SIPC does not protect against a loss in the market value of securities. SIPC is a non-profit, membership corporation funded by broker-dealers that are members of SIPC. For more information about SIPC and answers to frequently asked questions please refer to the following websites: (i) https://www.SIPC.org (ii) https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins/investor-bulletin-sipc-protection-part-1-sipc-basics

 

Options trading entails significant risk and is not appropriate for all investors. Option investors can rapidly lose the value of their investment in a short period of time and incur permanent loss by expiration date. Losses can potentially exceed the initial required deposit. You need to complete an options trading application and get approval on eligible accounts. Please read the Characteristics and Risks of Standardized Options, found at www.theocc.com/company-information/documents-and-archives/options-disclosure-document, before trading options.

Investments always entail some degree of risk. Be aware that: (i) Some investments in stocks cannot easily be sold or converted to cash. Ensure you and your RIA understand whether there is any penalty or charge imposed on you if you must sell an investment quickly;  (ii) Investments in stocks issued by a company with little or no operating history may involve greater risk than investing in a public company with an operating history;  (iii) Stock investments are not federally insured against a loss in market value; (iv) Stock you own may be subject to tender offers, mergers, reorganizations, or third-party actions that can affect the value of your ownership interest. Pay careful attention to public announcements and information sent to you about such transactions. They involve complex investment decisions. Be sure you fully understand the terms of any offer to exchange or sell your shares before you act; 

 

You should understand the investment objectives and unique risk profile of an ETF carefully before investing. ETFs are subject to risks similar to those of other diversified portfolios. Although ETFs are designed to provide investment results that generally correspond to the performance of their respective underlying indices, they may not be able to exactly replicate the performance of the indices because of expenses and other factors.  A prospectus contains this and other information about the ETF and should be read carefully before investing. You should seek to obtain prospectuses from issuers and/or their third party agents who distribute and make prospectuses available for review.  ETFs are required to distribute portfolio gains to shareholders at year end. These gains may be generated by portfolio rebalancing or the need to meet diversification requirements. ETF trading will also generate tax consequences. 

 

Margin trading increases risk of loss and includes the possibility of a forced sale if account equity drops below required levels. Margin is not available in all account types. Margin trading privileges are subject to State Street Global Markets, LLC review and approval. Leverage carries a high level of risk and is not suitable for all investors. Greater leverage creates greater losses in the event of adverse market movements.

 

The past performance of a security, or financial product does not guarantee future results or returns. Keep in mind that while diversification may help spread risk, it does not assure a profit or protect against loss in a down market. There is always the potential of losing money when you invest in securities or other financial products. Investors should consider their investment objectives and risks carefully before investing.

 

Investors should be aware that system response, execution price, speed, liquidity, market data, and account access times are affected by many factors, including market volatility, size and type of order, market conditions, system performance, and other factors. Market volatility, volume and system availability may delay account access and trade executions.

 

No content on the State Street Global Markets, LLC website shall be considered as a recommendation or solicitation for the purchase or sale of securities, options, or other investment products. SSGM does not recommend investments or investment strategies or provide investment, tax, or legal advice, and you are solely responsible for determining whether any investment, investment strategy or related transaction is appropriate for you based on your personal investment objectives, financial circumstances and risk tolerance. SSGM does not recommend that any security should be bought, sold, or held by you.  SSGM will not be held responsible for the decisions you make to buy, sell, or hold any security based on the information provided by SSGM.  All information and data on the website is for reference only and no historical data shall be considered as the basis for judging future trends. State Street Global Markets, LLC does not provide tax advice.  Tax outcomes depend on your individual situation and may change with law or guidance. You are responsible for maintaining adequate records and consulting your tax adviser.

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