You can view a list of your account statements by navigating to Accounts > Records & Statements > Statements (login required).
Statements summarize the transactions and activity that occurred in your ShareBuilder account during a month. In January of each year, ShareBuilder consolidates the previous year’s monthly statements into a single year-end statement. These statements contain the same information as your regular monthly statements, formatted to make the information easy to find and use.
Note: Depending on the number of transactions you had completed, the year-end statements may take longer to load.
To open a statement, locate the month or year you want to review in the list of available files. Click the name of the statement to open it in a new browser window that is formatted for printing. To print your trade confirmation, go to your browser's File menu and select Print.
Note: To keep trading and account costs to a minimum, ShareBuilder does not mail out hard copies of statements. Please print all confirmations and monthly statements for your records. ShareBuilder provides three years of statements online.
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You can view a list of your recent trade confirmations by navigating to Accounts > Records & Statements > Trade Confirmations (login required).
Confirmations contain the details for transactions made in your ShareBuilder account. When viewing confirmations, the default display period is for the Current Month. You can view past activity by selecting Last Month or Year to Date from the Time Period menu.
Once you have found the trade confirmation you want to review, clicking View will open the confirmation in a new browser window that is formatted for printing. To print your trade confirmation, go to your browser's File menu and select Print.
Note: To keep trading and account costs to a minimum, ShareBuilder does not mail out hard copies of confirmations. To view your statements, please follow the directions below. Please print all confirmations and monthly statements for your records.
You will receive email alerts to inform you when your monthly statements and confirmations are available online. You can go online to view the detailed information and print hard copies for your records.
If there are any problems with your ShareBuilder account, you will receive an email informing you of the problem and what needs to be done to have the situation rectified.
When opening an account with ShareBuilder Securities Corporation, you must acknowledge that you have read and understand the "General Terms and Conditions" of the Account Agreement and the Business Continuity Disclosure.
Depending on the type of account you are opening, and the features you’ve requested to have on the account, there may be additional agreements and disclosures you must read and understand before completing the application.
When applying for options trading with ShareBuilder Securities Corporation, you must acknowledge that you have read and understand the "Terms and Conditions" of the ShareBuilder Options Trading Agreement. A printable version can be found here.
To view the agreement, click the Options Trading Agreement link located at the top of the page.
Please note: Options involve risk and are not suitable for all investors. Before investing in options, please read the Characteristics and Risks of Standardized Options.
The privacy and security of your confidential information is very important to ShareBuilder. Our Privacy Policy describes the information that we collect, how we use that information, and how you may opt out of receiving any product updates and other information.
Rule 3510 (e) Business Continuity Plan Disclosure ShareBuilder Securities Corp. maintains a business continuity plan according to FINRA Rule 3510. The plan describes how ShareBuilder would respond to possible future significant business disruptions.
Temporary Disruption Impacting Corporate Office The ShareBuilder corporate office, where brokerage and administrative operations are conducted, is protected from power failures by an on-site emergency power system. This system is fully automated and tested at least monthly. In the event of a local power failure, ShareBuilder can continue to operate normally without business interruption. The ShareBuilder website is hosted from another location, as discussed below, and all of the company's business and customer records are maintained at highly secure remote locations.
In the event that the corporate office becomes inaccessible to employees, critical employees are provided remote access through notebook computers and may conduct limited business activities such as trading and cashiering from remote sites. Additionally, Customer Service Associates may access systems over the Internet and communicate with customers via email.
Disruption Affecting Primary Data Center The ShareBuilder website is hosted from a highly secure and redundant data center designed to withstand a major earthquake and other disasters. The data center provides redundant power, redundant Internet connectivity, redundant environmental controls, primary and standby data and application servers and robust physical and network security. In the event of a disaster that destroys the data center, the ShareBuilder corporate office has sufficient infrastructure to support hosting the website. This failover is not automatic, however, and could take up to a week. During this time, customers could communicate with ShareBuilder via the telephone or email.
Citywide Disaster ShareBuilder's headquarters and sole office location is in Bellevue, Washington. In the event of a citywide disaster that prevents access to our building or causes the building to be without power or telecom infrastructure, ShareBuilder would be able to operate for several days in the same manner described above for a temporary disruption impacting our corporate office. Critical employees would be able to obtain remote access through notebook computers and would be able to conduct limited business activities such as trading and cashiering from remote sites, and Customer Service Associates would access systems over the Internet and communicate with customers via email. Although the ShareBuilder website is hosted from a separate location outside of the city, operating the daily business of the broker-dealer from remote locations would become increasingly difficult after several days. Under such circumstances, the company would actively seek to reestablish its permanent operations in a new location. Although customer access to funds and securities might be temporarily impacted in the event of an extremely severe Citywide disaster, all customer funds are held by the Bedford Money Market Portfolio of the RBB Fund and processed through corporate accounts at Wells Fargo, and all securities are held through Pershing, none of which should be severely impacted by a disaster impacting the city of Bellevue. Restoring access to such funds and securities in the event of a large scale Citywide disaster could take days or weeks.
Regional Disaster In the event of a disaster of such magnitude that one or more of ShareBuilder's two facilities are destroyed or seriously damaged and the region is without power and telecom infrastructure for an extended period of time, ShareBuilder would seek to establish operations outside of the effected area, which could take weeks or months. During a regional outage, ShareBuilder could continue to communicate with its customers via email, provided its customers have access to email. Email would be used to provide instructions to customers about how and when to access their funds through the ShareBuilder or other website. As described above, all customer funds are held by the Bedford Money Market Portfolio of the RBB Fund and processed through corporate accounts at Wells Fargo, and all securities are held through Pershing, none of which should be severely impacted by a disaster limited to the Northwest region of the United States. Restoring access to such funds and securities in the event of a large scale regional disaster could take days or weeks.
The ShareBuilder RBB Money Market Fund prospectus contains important information concerning the fund's investment policies and objective, as well as fees and the risks involved.
Note: In order to view the prospectus information, you must have Adobe Acrobat Reader installed on your computer.
The ShareBuilder RBB Money Market Fund annual report contains important information concerning the fund's statement of financial condition and holdings for the respective period, significant accounting policies and other financial disclosures.
Note: In order to view this report, you must have Adobe Acrobat Reader installed on your computer.
ShareBuilder Securities Corp. has made this report available to you pursuant to U.S. Securities and Exchange Commission Rule 11Ac-6 requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The intent of the rule and this report is to provide information on the routing of "non-directed orders". A non-directed order is any order that the customer has not specifically instructed be routed to a particular venue for execution.
ShareBuilder currently accepts only non-directed orders. For its non-directed orders ShareBuilder has selected Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation, as its primary execution venue. Pershing may choose, at it's sole discretion, to execute ShareBuilder's orders or to direct them to other brokerages for best execution.
ShareBuilder does not currently receive compensation for securities transactions executed by Pershing at designated exchanges, market makers, dealers or market centers.
Click here - and enter "ShareBuilder Securities Corp" to view the latest quarterly report from Pershing.
When you purchase securities through ShareBuilder Securities Corporation, they are held at Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation, which is a clearing broker for ShareBuilder.
We are pleased to announce that Pershing provides account protection for the net equity* of your securities positions. Of that total, SIPC (Securities Investor Protection Corporation) provides $500,000 of net equity protection, including $100,000 for claims for cash awaiting reinvestment at ShareBuilder (SIPC Protection). Pershing provides the additional protection (Excess SIPC) on terms similar to SIPC through a commercial insurer.
Account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients. Account protection does not protect against losses from the rise and fall in the market value of investments.
For more information about SIPC, visit www.sipc.org/who/who.cfm. You can also obtain a SIPC brochure by contacting the SIPC at (202) 371-8300 or by email: asksipc@sipc.org.
If you have any questions about our account protection policy, please contact our Customer Service team. Customer Service Associates are available from 8:00am to 9:00pm (ET), Monday through Friday (excluding market holidays).
*Net equity is the value of the securities held for your account, plus related cash, minus anything that may be owed.
Securities products are offered by ShareBuilder Securities Corporation, a registered broker-dealer and Member FINRA/SIPC. ShareBuilder Securities Corporation is a subsidiary of ING Bank, fsb. Brokerage Financial Statement