LAST UPDATED: August 10, 2022

The Firm carries your account as a clearing broker by arrangement with your broker/dealer or registered investment advisor as the Firm’s introducing client. The Firm understands that privacy is an important issue for customers of its introducing firms. It is the Firm’s policy to respect the privacy of all accounts that it maintains as clearing broker and to protect the security and confidentiality of non‐public personal information relating to those accounts. Please note that this policy generally applies to former customers of the Firm as well as current customers.

Personal Information Collected

In order to service your account as clearing broker, information is provided to the Firm by your introducing firm who collects information from you in order to provide the financial services that you have requested. The information collected by your introducing firm and provided to the Firm may come from the following sources:

  • Information received from you, such as your name, address, telephone number, social security number, occupation, and income
  • Information relating to your transactions, including account balances, positions, and activity
  • Information which may be received from consumer reporting agencies, such as credit bureau reports
  • Information relating to your creditworthiness
  • Information which may be received from other sources with your consent or with the consent of your introducing firm

In addition, the Firm may compile aggregate, anonymous, or de‐identified data from various sources, including but not limited to accounts and transactions. This data, which the Firm may use for its business purposes consistent with applicable law, does not identify individual customers.

Sharing of Non-public Personal Information

The Firm does not disclose nonpublic personal information relating to current or former customers of introducing firms to any third parties, except as required or permitted by law, including but not limited to any obligations of the Firm under the USA PATRIOT Act, and to facilitate the clearing of customer transactions in the ordinary course of business.

The Firm has multiple affiliates and relationships with third party companies. Examples of these companies include financial and non‐financial companies that perform services such as data processing and companies that perform securities executions on your behalf. The Firm may share information among its affiliates, as permitted by law, to better service your financial needs.


The Firm strives to ensure that its systems are secure and that they meet industry standards. The Firm seeks to protect nonpublic personal information that is provided to the Firm by your introducing firm by implementing physical and electronic safeguards. Where the Firm believes appropriate, the Firm will employ firewalls, encryption technology, user authentication systems (i.e., passwords and personal identification numbers) and access control mechanisms to control access to systems and data. The Firm endeavors to ensure that third party service providers who may have access to non‐public personal information are following appropriate standards of security and confidentiality. The Firm instructs its employees to use strict standards of care in handling the personal financial information of customers. As a general policy employees will not discuss or disclose information regarding an account except with authorized personnel of your introducing firm or as required by law or pursuant to regulatory request and/or authority.

Access to Your Information

You may access your account information through a variety of media offered by your introducing firm and the Firm (i.e., statements or online services). Please contact your introducing firm if you require any additional information.


The Firm may use “cookies” to provide better service, to facilitate its customers’ use of the website, to track usage of the website, and to address security hazards. A cookie is a small piece of information that a website stores on a personal computer, and which it can later retrieve.

Changes to Apex’s Privacy Policy

The Firm reserves the right to make changes to this policy.

How to Get in Touch with the Firm about this Privacy Policy

For reference, this is available on the Firm’s website at www.apexclearing.com. For more information relating to the Firm’s privacy policy, please contact:

Apex Clearing Corporation
Attn: Compliance Department
350 N. St. Paul St., Suite 1300
Dallas, Texas 75201

Download PDF