Investor Disclosures

Reg BI - Form CRS Relationship Summary

• BRSA Form CRS Relationship Summary
• Microsoft® Word Document
• PDF

Fees & Commissions

• BRSA Disclosure of Commissions and Management Fees
• Microsoft® Word Document
• PDF
• Wedbush Disclosure of Fees
• Microsoft® Word Document
• PDF

Options Disclosure & Supplements

• Download the Characteristics & Risks of Standards Options
• https://www.theocc.com/Company-Information/Documents-and-Archives/Options-Disclosure-Document

Margin Disclosure

• PDF on Margin Risks
• http://www.finra.org/web/groups/investors/@inv/@smart/@advanc/documents/investors/p005895.pdf
• FINRA Margin information
• https://www.finra.org/investors/learn-to-invest/advanced-investing/purchasing-margin

Business Continuity

• BRSA Business Continuity Plan
• Microsoft® Word Document
• PDF

SEC Disclosure Rules

• SEC Disclosure in accordance with SEC Rule 606
• Rule 606 requires broker-dealers that route client orders in equities and option securities to make available to the public quarterly reports that represent a general overview of their routing practices. Boursa Investments’ clearing firm, Wedbush Securities, routes its clients’ orders on its behalf and upon written request, Wedbush Securities will provide the location of the venue to which your individual order was routed for execution. By clicking below link, you will have access to the most recent quarterly report by Wedbush Securities (FAQ 12.01 of SEC.gov | Responses to Frequently Asked Questions Concerning Rule 606 of Regulation NMS)
  
  http://public.s3.com/rule606/wedb/
  
  For older information, please click on the below link:
  
  https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Wedbush%20Securities%20LLC/237
  
  For additional information, please visit SEC and Finra public websites.

Day Trading Risks

• BRSA Day Trading Risk Disclosure
• Microsoft® Word Document
• PDF

Extended Hours Trading

• BRSA Extended Hours Trading Disclosure
• Microsoft® Word Document
• PDF

Payment For Order Flow

• BRSA Payment For Order Flow Disclosure
• Microsoft® Word Document
• PDF

USA Patriot Act Customer Notice

U.S. federal law requires us to obtain, verify, and record information that identifies each person or entity that opens an account. As a result, when you purchase or sell securities or custody assets with our Firm, we will ask for a customer name, date of birth (for an individual), street address and an identification number, such as a Taxpayer ID number. We may also ask to see other identifying documents that will allow us to identify and verify your account. We appreciate your cooperation.

Important Notification

Please be advised that financial crimes and fraud have been on the rise. We do not engage in unsolicited calling “cold calling”. If you receive a telephone call and/or email from a person or organization trying to impersonate us, please contact your financial professional or our office directly 619.756.6949. If you suspect you have been a victim of a financial crime or fraud, please contact your local authorities.