Disclosures

Disclosures

Securities America and its family of affiliated companies are committed to maintaining the trust and confidence of clients and investors. We want you to be fully informed when it comes to making investment decisions, and to be aware of how those choices and associated costs may impact you.

Form CRS
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Securities America Broker-Dealer Firm Brochure
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Securities America Advisors, Inc. Firm Brochure (Part 2A of Form ADV)
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Securities America Advisors, Inc. Managed Opportunities Program Brochure (Part 2A Appendix 1 of Form ADV)
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Client Brokerage Fee Disclosure – NFS Clearing
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Client Brokerage Fee Disclosure – Pershing Clearing
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Indirect Compensation
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Financial Professionals Compensation
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Supplemental Conflicts Disclosure
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FINRA BrokerCheck
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Securities America Code of Ethics
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Strategic Partners
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eQuipt Online Privacy Policy
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Fiduciary Acknowledgement
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VISION2020 Advisor Managed Portfolios Program ADV Part 2A Appendix 1
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VISION2020 Unified Managed Account Program ADV Part 2A Appendix 1
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Investing Client Resources

Securities America Financial Corporation and its family of affiliated companies are committed to maintaining the trust and confidence of investors. We want you to be fully informed when it comes to making investment decisions, and to be aware of how those choices and associated costs may impact you. Safeguarding your personal information and keeping it secure and private is a top priority for us.

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Retirement Plans Information

Click the button below to find fees, charges and other compensation elements that may apply to your retirement plan account.

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Sweep Programs

The Bank Deposit Sweep Program and Insured Cash Account Program are core account investment vehicles used to hold your cash balance while awaiting reinvestment. The cash balance in your Brokerage Account(s) will be automatically deposited or “swept” into an interest-bearing FDIC-insured program deposit account. Greater safety and competitive yield on the cash in your investment account – that’s why Securities America created the Bank Deposit Sweep Program and Insured Cash Account Program, which provide up to $2.5 million maximum cumulative FDIC coverage and a competitive yield with deposits held at a network of multiple banks.

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