FORM CRS Disclosures

FORM CRS Customer Relationship Summary

ViewTrade Securities, Inc. (“ViewTrade” or the “Firm”) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA). Brokerage and investment advisory services and fees differ, and it is important for you to understand the differences. Free and simple tools are available to research different firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice can you provide me?

Our brokerage services include the buying and selling of securities and investment products. These include stocks, bonds, options, mutual funds, variable annuities, and more. If you open a brokerage account, you will pay us a transaction‐based fee, generally referred to as a commission, every time you buy or sell an investment. There is no minimum amount required to open an investment account, but we may recommend some investments which require a minimum investment.

When we provide brokerage services, we may recommend investments, or you may select them, but the ultimate decision regarding an investment strategy or the purchase or sale of an investment will be yours. Although we do not provide ongoing monitoring of your account, we will review your account before every recommendation to ensure we act in your best interest.

Through our clearing Firm we will provide you with account statements on a quarterly or monthly basis. We may be able to provide you with additional services to help you reach your goals, but you may pay more.

It is important to understand our products and services are limited as there are other account types and investment products which we do not offer that may benefit your portfolio. In addition, there could be other firms who offer the same or similar investment options or services for a lower cost.

For more detailed information on the products and services we offer, including limitations, visit https://www.viewtrade.com/l/reg-bi

Ask your Financial Professional

  • Given my financial situation, should I choose brokerage service? Why or why not? 
  • How will you choose investments to recommend to me? 
  • What is your relevant experience, including your licenses, education and other qualifications and what do these qualifications mean?

What fees will I pay?

When you transact in a brokerage account, you will pay a transaction-based fee. This fee is based on the specific transaction, not the value of your account. With certain investments such as stocks or exchange-traded funds this fee is called a commission. For other investments, such as a bond, this fee might be part of the price you pay for the investment, which is also known as “mark-up” or “mark-down”. With mutual funds this fee is usually referred to as a “load” and reduces the value of your investment.

Certain investments, such as mutual funds also impose additional fees that will reduce the value of your investment over time. Also, with certain investments you may have to pay fees, such as surrender charges, when you sell the investment. From a cost perspective, you may prefer a transaction‐based fee if you do not trade often or if you plan to buy and hold investments for longer periods of time. In a brokerage account, more transactions result in us charging you more fees. Therefore, we could have an incentive to encourage you to engage in transactions. You may also pay other fees for things like account maintenance and wire transfers. 

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

For more detailed information regarding fees and cost of your account visit: https://www.viewtrade.com/l/reg-bi

Ask your Financial Professional

  • Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me? 

What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?

When we provide you with a recommendation, we must act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations, we provide you. Here are some examples to help you understand what this means.

In a brokerage account, when our interests’ conflict with your interests, we must tell you about them and, in some cases, take steps to reduce or eliminate these conflicts. Conflicts may result in you paying more for your investments that you would if the conflict did not exist.

In a brokerage account, we make money by buying and selling you securities and investment products. Because we get paid when you complete a transaction, we could have an incentive to encourage you to make larger investments and more frequently. Certain products, such as mutual funds, include continuing payments to us, known as “trails”. We could have an incentive to recommend investment products that include trails, even if other investments available to you have lower costs or may perform better.

We also receive shared revenue and payments from some third parties which incentivizes us to do business with them. For some products we receive higher compensation than on other products. We could have an incentive to encourage you to buy products or investments that pay us more, even if other options might be better for you. We can buy investments from you, and sell investments to you, from our own accounts (called “acting as principal”). We can earn a profit on these trades, so we have an incentive to encourage you to trade with us.

For more detailed information and a complete list of our conflicts of interest and a description of all the ways we make money, visit https://www.viewtrade.com/l/reg-bi

Ask your Financial Professional

  • How might your conflicts of interest affect me, and how will you address them

How do your financial professionals make money?

For brokerage accounts, your financial professional is paid a percentage of the selling compensation (commissions, markup, markdowns, loads – as described above) as well as trailing compensation.

Do you or your financial professionals have legal or disciplinary history? Yes, you can visit Investor.gov/CRSfor a free and simple search tool to research more information about our Firm and your financial professiona

Ask your Financial Professional

  • As a financial professional, do you have any disciplinary history? For what type of conduct? 

You can find additional information regarding our brokerage services by visiting our website, https://www.viewtrade.comIf you need any other up-to-date information or would like a copy of our relationship summary sent to you, email us or call us.

Ask your Financial Professional

  • Who is my primary contact person? Is he or she a representative of an investment adviser or a broker- dealer? Who can I talk to if I have concerns about how this person is treating me? 

 


Commission Free Options Trading Promotion
* Commission Free Trading refers to $0 per trade standard per trade commission pricing on self-directed
individual cash brokerage accounts that trade U.S. listed securities. 
* Option trades are charged $0 per trade plus per contract fees.

Please refer to our fee schedule for a complete listing of pricing.
* Customary Exchange Fees and Regulatory Fees including TAF, SEC, OCC and ORF, are passed through and debited to customer accounts.
* The following symbols incur proprietary CBOE exchange fees* SPX, VIX, RUT, NDX, DJX, NDX, OEX, and XEO.
* Any trades in CBOE Proprietary products are debited to customer account.
* We reserve the right to debit your account for any venue, routing, or exchange fees without prior notice.
* Promotion is available for New Accounts and Incoming New Account Transfers.
* Individual, Entity (Corporate, LLC), and IRA Accounts are Eligible.

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Any opinion, recommendation or alert of any independent third-party provider is the sole opinion of the publisher and does not express the opinion of OptionsRoute. If you subscribe to and effect trades of any provider, you are choosing to do so at your own risk and discretion. OptionsRoute does not provide any financial or investment advice. OptionsRoute does not recommend or endorse any investment instruments or trading strategy. The material on this website is provided for informational and educational purposes only and shall not in any manner be considered a recommendation or endorsement of any strategy or investment. Any investment decision and/or strategy that you make or utilize, whether or not such decision or strategy derives from or relies upon material accessed or provided through this website, is done so at your sole discretion and your own risk. Before making any investment decisions, please consult additional sources of information and/or your legal or tax advisor.


OptionsRoute® is a Division of ViewTrade Securities, Members FINRA and SIPCFINRA Brokercheck for Viewtrade Securities. As a member of the Securities Investor Protection Corporation (SIPC), funds are available to meet customer claims up to a ceiling of $500,000, including a maximum of $250,000 for cash claims. For additional information regarding SIPC coverage, including a brochure, please contact SIPC at (202) 371-8300 or visit www.sipc.org. Our Clearing firm has purchased an additional insurance policy through a group of London Underwriters (with Lloyd's of London Syndicates as the Lead Underwriter) to supplement SIPC protection. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted and provides protection for securities and cash up to an aggregate of $600 million. This is provided to pay amounts in addition to those returned in a SIPC liquidation. This additional insurance policy is limited to a combined return to any customer from a Trustee, SIPC and London Underwriters of $150 million, including cash of up to $2.15 million. Similar to SIPC protection, this additional insurance does not protect against a loss in the market value of securities.

System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources and circumstances.


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