Important Regulatory and Legal Notices

SEC Large Trader Reporting Rule: Important information for Large Traders

You can learn about the firm and our registered representatives by looking at the Finra " BrokerCheck" website.

Customer Identification Program Notice: Why we ask our customers for personal, private information.

Rule 606 order Disclosure information

Prior to buying or selling an option, investors MUST read a copy of the Characteristics Risks of Standardized Options, also known as the Options Disclosure Document (ODD). It explains the characteristics and risks of exchange traded options.

Day Trade Disclosure Statement

Risks Relating to Trading on Margin

Margin Requirements of Pershing

Mutual Fund Break Point Disclosure Statement

FINRA Public Disclosure Information (301) 590-6500

CRS Disclosure

Business Continuity Plan

Privacy Policy Notice

Anti-Money-Laundering Procedures

Penny Stock Risk Disclosure

Risks and Rebates related to Short Sales

Special Risks for Writers of Uncovered Options

Extended Hours Trading Risk Disclosure

Important Information for Senior Investors

Standard Equity and Bond Commission: $35 per order (subject to negotiation)

Standard Option Commission (subject to negotiation) $35 plus $3 per contract.

Other Fees: Wire Transfers $15; Paper Surcharge $0.75 per mailing; Inactive Fee $25 / annum; Outgoing ACAT $65; Confirm Fee $2; Exchange Fees (pass through); Reorganization $25; Other fees available on request.

Sample Best Interest Contract Non-Erisa

Sample Best Interest Contract Erisa

The material on this website has been composed and reviewed by R. Keith Aufhauser, the firm's compliance principal. (Last reviewed 2023-01-01).

Any questions regarding the site should be addressed to us By mail: Aufhauser Securities Inc. 112 West 56th Street New York NY 10019 or By email: admin@aufsec.com