Risk Disclosure

BrokerMax 1.0

Securities trading is offered to self-directed customers by BrokerMax 1.0, a broker dealer registered with the Securities and Exchange Commission (SEC).

BrokerMax 1.0 is a member of the Financial Industry Regulatory Authority (FINRA) & Securities Investor Protection Corporation (SIPC). BrokerMax 1.0is a member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org.

Our clearing firm has purchased an additional insurance policy. The coverage limits provide protection for securities and cash up to an aggregate of $150 million, subject to maximum limits of $37.5 million for any one customer’s securities and $900,000 for any one customer’s cash. Similar to SIPC protection, this additional insurance does not protect against a loss in the market value of securities. Cryptocurrency trading is offered through BrokerMax 1.0. Please ensure that you fully understand the risks involved before trading. All investments involve risks and is not suitable for every investor. The value of securities may fluctuate and as a result, clients may lose more than their original investment. 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. Options involve risks and are not suitable for all investors as the special risks inherent to options trading may expose investors to potentially rapid and substantial losses. Options trading privileges subject to BrokerMax 1.0 review and approval. Please read Characteristics and Risks of Standardized Options before investing in options. No content on the BrokerMax 1.0 website shall be considered as a recommendation or solicitation for the purchase or sale of securities, options or other investment products. 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. 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. Free trading of stocks, ETFs and options refers to $0 commissions for BrokerMax 1.0 self-directed individual cash or margin brokerage accounts and IRAs that trade U.S. listed securities via mobile devices, desktop or website products. Relevant regulatory and exchange fees may apply. Please refer to our Fee Schedule for more details.

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