Regulatory Information
Important regulatory disclosures and compliance information.
About NexTrade Securities LLC
NexTrade Securities LLC is a registered broker-dealer with the U.S. Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
BrokerCheck
FINRA BrokerCheck allows you to research the professional background of brokers and brokerage firms. You can verify NexTrade's registration and review our firm's history at brokercheck.finra.org.
SIPC Protection
As a member of SIPC, customer accounts are protected up to $500,000 (including $250,000 for cash claims) if NexTrade fails financially and customer assets are missing. SIPC does not protect against market losses. Learn more at www.sipc.org.
Regulatory Documents
Customer Relationship Summary (Form CRS)
Overview of our services, fees, and conflicts of interest
Regulation Best Interest Disclosure
Information about how we meet our obligations under Reg BI
Business Continuity Plan Summary
How we protect your account in emergencies
Order Routing Disclosure
Information about how we route your orders
Payment for Order Flow Disclosure
Details about compensation we receive for order routing
Extended Hours Trading Risk Disclosure
Risks associated with pre-market and after-hours trading
Margin Disclosure Statement
Risks of trading on margin
Options Disclosure Document
Characteristics and risks of standardized options
Complaints
If you have a complaint about NexTrade or any of our representatives, you may submit it in writing to our Compliance Department:
- Email: compliance@nextrade.com
- Mail: NexTrade Securities LLC, Attn: Compliance, 123 Wall Street, New York, NY 10005
You may also contact FINRA at www.finra.org/investors/have-problem or call their Securities Helpline at 1-844-574-3577.
Investor Education
We encourage all investors to educate themselves about their rights and the risks of investing. Helpful resources include:
- Investor.gov - SEC's Office of Investor Education
- FINRA Investor Education
- SIPC Investor Resources
Contact Regulatory Affairs
For regulatory inquiries, please contact our Compliance Department at compliance@nextrade.com.