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Investor Information

Important Information for Investing Clients

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.

Securities America

• Securities America Advisors, Inc. Firm Brochure (Part 2A of Form ADV)
• Suggested Commissions Schedule
• Standard Deviation Thresholds
• Business Continuity Plan Disclosure
• Revenue Sharing and Other Compensation
• Securities America Brochure
• Customer Privacy

National Financial Services, LLC

• Quarterly Order Routing Information for Customers with Accounts Held at National Financial Services, LLC
• Securities America, Inc. Customer Agreement for Non-Brokerage Accounts and National Financial Brokerage Accounts – Terms and Conditions
• Securities America Inc. Customer Agreement for National Financial Premiere Select Accounts – Terms and Conditions
• Margin Interest Charges for Accounts Held at National Financial Services, LLC
• Schedule of Client Fees and Charges – National Financial Brokerage Accounts
• National Financial Services LLC Statement of Financial Condition
• Margin Disclosure Statement
• Explanation of SIPC Coverage
• Transaction Charges

Pershing, LLC

• Securities America, Inc. Customer Agreement for Non-Brokerage Accounts and Pershing Brokerage Accounts – Terms and Conditions
• Quarterly Order Routing Information for Customers with Accounts Held at Pershing, LLC
• Margin Interest Charges for Accounts Held at Pershing, LLC
• Pershing LLC Statement of Financial Condition
• Schedule of Client Fees and Charges – Pershing Brokerage Accounts
• Margin Disclosure Statement
• Transaction Charges

Check the background of this firm on FINRA’s BrokerCheck.