Policies & Disclosures | AQUAS Financial, LLC

Account Agreements & Relationship Summary

AQUAS Financial Customer Agreement

Sets out the terms and conditions governing the opening and maintenance of your AQUAS Financial account.

Options Agreement

Establishes the rights and obligations governing options trading in your account.

Form CRS

Summarizes the services, fees, and conflicts of interest associated with your relationship with AQUAS Financial.

Trading Risk Disclosures

Electronic Trading Systems Risk Disclosure

Describes the risks unique to electronic order routing and trading systems.

Risks of After-Hours Trading Risk Disclosure

Outlines the special risks of trading during pre-market and post-market sessions.

Margin Disclosure Statement

Explains the risks and requirements of purchasing securities on margin.

Special Statement for Uncovered Options Writers

Details the significant risks of writing uncovered options.

Penny Stock Information

SEC-required disclosure on the risks of trading low-priced, thinly traded securities.

Fractional Share Trading Disclosure

Explains the features, limitations, and risks of trading fractional shares.

Pre-Borrow Program Disclosure

Describes the terms of AQUAS's pre-borrow program for short-sale locates.

Order Handling & Market Data

Order Routing and Payment for Order Flow Disclosure

Describes how AQUAS routes customer orders and its payment-for-order-flow arrangements.

Procedures for Allocating Option Exercise Notices

Explains how OCC option exercise assignments are allocated to AQUAS customers.

Market Data Addendum

Supplements the Customer Agreement with the terms governing your market data subscriptions.

Privacy, Security & Operations

Describes how AQUAS collects, uses, and protects your nonpublic personal information.

Security Procedures / Cybersecurity Notice

Summarizes the safeguards AQUAS uses to protect customer data and accounts.

Business Continuity Plan Disclosure

Summarizes AQUAS's plan for responding to emergencies and significant business disruptions.

Customer Consent to Receive Mutual Fund Information Electronically

Documents customer consent to receive mutual fund materials electronically.

Important: Investing in securities involves risk, including the potential loss of principal. Electronic trading systems and financial markets are subject to various risks. We encourage you to carefully review the disclosures above before opening an account.