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Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver and improve service to you. Such service includes processing transactions requested by you, providing you with trading software analysis tools (and related educational, training and support), and administering our business.
How We Gather Information: We get most Information directly from you, when you apply for, access and use financial (and related) products and services offered by TradeStation through its affiliated companies and its business partners—whether in person, by telephone or electronically. We may verify this information or get additional information from consumer or investigative reporting agencies or public sources. This Information may relate to your finances, employment, avocations or other personal characteristics, as well as transactions and interactions between or among our affiliated companies or others. The personal information we collect may include your name, address, telephone number, email address, Social Security number and date of birth, as well as details about your professional affiliations, net worth, income, investments and investment experience. In addition, Web tools are used on our Web site to help us monitor traffic patterns and to see how the user navigates through our site. These Web tools are used by us and our affiliates for internal purposes only and are not used to collect or disseminate personal information to any third party.
Disclosure of Information: We do not disclose any nonpublic information about our customers or former customers to anyone, except as required or permitted by law. We may disclose any Information to or as directed by our securities affiliate’s clearing firm(s) or when we believe it necessary for the conduct of our business, or where disclosure is required or permitted by law. Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies, for example, to help us prevent fraud. In addition, we may disclose Information to affiliated and non-affiliated third party service providers (i) to enable them to provide business services for us or our securities affiliate’s clearing firm(s), such as performing computer related or data maintenance or processing services, (ii) to facilitate the processing of transactions requested by you, (iii) to assist us in offering products and services to you or to assist our clearing firm in offering products and services to you, or (iv) for credit or other background review and reporting purposes. Except in those specific, limited situations, without your consent we will not make any disclosures of Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company. It is TradeStation's policy to require all third parties that are to receive any Information, other than our securities affiliate’s clearing firm(s), to sign strict confidentiality agreements.
Non Affiliates: Current law allows you to limit the sharing of Information with nonaffiliated third parties under certain circumstances. Since we do not currently share your Information with nonaffiliated third parties, other than as described in this policy, there is no need for you to opt-out.
Affiliates: Current law allows you to limit the sharing of certain Information among our affiliates, including creditworthiness information and, under some circumstances, Information for marketing products and services to you. We currently do not share creditworthiness information with our affiliates so it is not necessary for you to opt out in that regard. Sometimes we do share your Information between and among our affiliates for marketing offers which relate to products and services we believe could enhance or improve your experience as our customer. You may ask us not to share your Information, for marketing purposes, with any TradeStation affiliate with whom you do not do business by following the opt-out procedure below.
To opt out, contact our Client Service Department at (800) 822-0512 or (954) 652-7900.
Your election to limit marketing offers from our affiliates will apply unless and until you request that we change your choice.
State Considerations: The practices described above are in accordance with federal law. You may have other protections under applicable state laws, such as those in Vermont and Nevada. To the extent these state laws apply, we will comply with them if we share your Information. For example, Vermont law places additional limits on sharing Information about Vermont residents so we will not share Information we collect about Vermont residents to companies outside of TradeStation, except:
Nevada Law. At any time, you may request to be placed on TradeStation’s internal do not call list. Nevada law also requires that we provide you with the following contact information:
TradeStation Securities, Inc.
8050 SW 10th Street, Ste 2000
Plantation, Florida 33324
Bureau of Consumer Protection
Office of the Nevada Attorney General
555 E. Washington Street, Suite 3900
Las Vegas, Nevada 89101
Access to and Correction of Information: If you desire to review any file we may maintain for your personal Information, please contact us. If you notify us that any Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in future disclosures of the disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
Note: Trading products are independent, unaffiliated software programs that contain objective rules to enter and exit the market. No customized or other trading advice or recommendations are made by these products.
HYPOTHETICAL PERFORMANCE RESULTS HAVE MANY INHERENT LIMITATIONS, SOME OF WHICH ARE DESCRIBED BELOW. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL OR IS LIKELY TO ACHIEVE PROFITS OR LOSSES SIMILAR TO THOSE SHOWN. IN FACT, THERE ARE FREQUENTLY SHARP DIFFERENCES BETWEEN HYPOTHETICAL PERFORMANCE RESULTS AND THE ACTUAL RESULTS SUBSEQUENTLY ACHIEVED BY ANY PARTICULAR TRADING PROGRAM.
ONE OF THE LIMITATIONS OF HYPOTHETICAL PERFORMANCE RESULTS IS THAT THEY ARE GENERALLY PREPARED WITH THE BENEFIT OF HINDSIGHT. IN ADDITION, HYPOTHETICAL TRADING DOES NOT INVOLVE FINANCIAL RISK, AND NO HYPOTHETICAL TRADING RECORD CAN COMPLETELY ACCOUNT FOR THE IMPACT OF FINANCIAL RISK IN ACTUAL TRADING. FOR EXAMPLE, THE ABILITY TO WITHSTAND LOSSES OR TO ADHERE TO A PARTICULAR TRADING PROGRAM IN SPITE OF TRADING LOSSES ARE MATERIAL POINTS WHICH CAN ALSO ADVERSELY AFFECT ACTUAL TRADING RESULTS. THERE ARE NUMEROUS OTHER FACTORS RELATED TO THE MARKETS IN GENERAL OR TO THE IMPLEMENTATION OF ANY SPECIFIC TRADING PROGRAM WHICH CANNOT BE FULLY ACCOUNTED FOR IN THE PREPARATION OF HYPOTHETICAL PERFORMANCE RESULTS AND ALL OF WHICH CAN ADVERSELY AFFECT ACTUAL TRADING RESULTS.
IMPORTANT INFORMATION: TradeStation TradingApp Store is hosted and operated by TradeStation Technologies, Inc. ("TTI"), a software development company which owns all technology and other intellectual property used by its affiliates, to provide a brokerage trading platform to active traders. TradeStation TradingApp Store is being made available exclusively to brokerage customers of TradeStation Securities ("TSI"). "TradeStation," as used in this document and product/service offering, should be read and understood in that context. TradeStation TradingApp Store is a trademark of TTI. Developers who offer products or other trading software tools on TradeStation TradingApp Store are independent persons or companies that are in no manner affiliated with TTI or any of its affiliates. TTI and its affiliates do not endorse, recommend or approve any such developer, or any developer's product or trading software tool, or receive any compensation, direct or indirect, relating to the sale or use of any such product or trading software tool. No offer or solicitation to buy or sell securities, securities derivatives or futures products of any kind, or any type of trading or investment advice, recommendation or strategy, is made, given or in any manner endorsed by TTI or any of its affiliates, and no specific trading recommendation or advice is or will be given to any individual by or through TradeStation TradingApp Store. All descriptions of products and the strategies they are designed to run, and the profiles of the developers who created the products, are provided by the developers, not TTI or any of its affiliates. Customers interested in learning more about, or investigating the quality of, any such product must contact the provider or seller of such product – no person employed by, or associated with, TTI or any of its affiliates is authorized to provide any information about any such product. To the extent that TTI or the developers who offer products or other trading software tools on TradeStation TradingApp Store offer performance reports and rankings of their respective products, it should be remembered that they are hypothetical, based upon hypothetical back-testing using the trading symbol and time intervals that the product developer has provided as examples and that TTI and its affiliates have not endorsed or approved any such hypothetical results and/or rankings. Any such reports and rankings must contain the clear and prominent additional disclosure required by FINRA Rule 2214(c) and/or NFA Rule 2-29(c).
Equities, equities options, and commodity futures products and services are offered by TSI (Member NYSE, FINRA, CME and SIPC). TradeStation Securities, Inc.’s SIPC coverage is available only for equities and equities options accounts. Copyright 2017 TradeStation. All rights reserved.