Relationship Disclosures

REL-010: Advisor Services

Scottrade® Advisor Services is a business unit of Scottrade, Inc. All products and services offered by Scottrade, Inc. – Member FINRA /SIPC.

REL-020: Advisor Disclosure

More information about the advisor is available on the SEC website www.sec.gov.  Scottrade is not responsible for services or policies of any third party. Scottrade does not recommend or endorse any advisor that utilizes its brokerage or custodial services. Scottrade does not monitor, and is not responsible for, communications between advisors and their clients.  The advisor referenced is not affiliated with Scottrade Advisor® Services.  Scottrade Advisor Services is a business unit of Scottrade, Inc. All products and services are offered by Scottrade, Inc., Member FINRA/SIPC.  Scottrade Inc. provides self-directed investors with online investing services, and does not make recommendations or offer investment advice of any kind.  

REL-030: Banking

Brokerage products and services offered by Scottrade, Inc. – Member FINRA and SIPC. Deposit products and services offered by Scottrade Bank, Member FDIC.

Brokerage products are not insured by the FDIC — are not deposits or other obligations of the bank and are not guaranteed by the bank — are subject to investment risks, including possible loss of the principal invested.

REL-040: Banking (Print)

Brokerage products and services offered by Scottrade, Inc. – Member FINRA (www.FINRA.org) and SIPC (www.SIPC.org). Deposit products and services offered by Scottrade Bank, Member FDIC (www.FDIC.gov).

Brokerage products are not insured by the FDIC — are not deposits or other obligations of the bank and are not guaranteed by the bank — are subject to investment risks, including possible loss of the principal invested.

REL-050: Interactive Brokers

Scottrade, Inc. (“Scottrade”) is introducing these accounts to Interactive Brokers LLC (“IB”). Under a clearing agreement between Scottrade and IB, Scottrade will be responsible for providing certain customer support for these accounts. IB will be responsible for providing most other broker-dealer and custodial obligations, including providing account opening, approval, monitoring, maintenance and supervision, order acceptance and execution, margin maintenance, custody, clearing and settlement services. IB and Scottrade are separate and unaffiliated companies. Scottrade receives commissions for orders you place with IB.

Although the sources are deemed to be reliable, Scottrade makes no warranty with respect to the contents, accuracy, completeness, timeliness, suitability, or reliability of the information. None of the information presented constitutes a recommendation by Scottrade or its affiliates to buy, sell or hold any security or financial product or instrument, or to engage in any specific investment strategy. The choice to engage in a particular investment strategy or use a specific investment tool should be based solely on your own research and evaluation of the risks involved, your financial circumstances and your investment objectives.

The information and content provided is for informational and/or educational purposes only. The information presented or discussed is not, and should not be considered, a recommendation or an offer of, or solicitation of an offer by, Scottrade or its affiliates to buy any specific practice management strategy or service. You are fully responsible for your decisions. Your choice to engage in a particular strategy or service should be based solely on your own research and evaluation of the risks involved, your financial circumstances, and your objectives. Scottrade, Inc. and its affiliates are not offering or providing, and will not offer or provide, any advice, opinion or recommendation of the suitability, value or profitability of any particular practice management strategy or service.

REL-060: IBKR - Options/products

Options involve risk and are not suitable for all investors. Detailed information on the risks associated with options can be found by downloading the Characteristics and Risks of Standardized Options and Supplements (PDF) from The Options Clearing Corporation, ordered by phone at 1-888-OPTIONS or by requesting a copy by visiting www.optionseducation.org.

There are special risks associated with uncovered option writing that may expose investors to significant losses. Therefore, this type of strategy may not be suitable for all customers approved for options transactions. Clients approved for uncovered put writing must acknowledge having received and read the Special Statement for Uncovered Options Writers concerning the risks of this type of trading.

Multiple-leg option strategies can entail substantial transaction costs, including multiple commissions, which may impact any potential return.

While there is income potential from spread trading, there are additional risks, which include but are not limited to, the risk of being assigned on one leg due to early exercise and order execution risk. Order execution risk exists due to multiple factors including, but not limited to, the fact that spread orders are not held and are discretionary, as well as the risk of delayed reporting of executions.‎

Margin trading involves interest charges and risks, including the potential to lose more than deposited or the need to deposit additional collateral in a falling market. IB’s margin agreement is available at IB's website, and contains the Margin Disclosure Statement and information on lending policies, interest charges, and the risks associated with margin accounts.

Consult with your tax advisor for information on how taxes may affect the outcome of these strategies. Keep in mind profit will be reduced or loss worsened, as applicable, by the deduction of commissions and fees.

REL-070: Scottrade Investment Management (SIM)

Guidance Solutions from Scottrade Investment Management and Advisor Access from Scottrade Investment Management are investment advisory services offered by Scottrade Investment Management, Inc., a registered investment advisor. Brokerage products and services are offered through Scottrade, Inc., member FINRA / SIPC, while advisory services are provided by Scottrade Investment Management, Inc. Scottrade Investment Management, Inc. and Scottrade, Inc. are both wholly owned subsidiaries of Scottrade Financial Services, Inc. This is not an offer or solicitation in any jurisdiction where we are not authorized to do business.

REL-080: ScottradePRO

Scottrade, Inc. Member FINRA / SIPC (“Scottrade”) is the introducing broker on your account with Interactive Brokers LLC (“IB”). IB and Scottrade are separate and unaffiliated companies.