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SEC Rule 606 and 607 Disclosures

2018 Q3

2018 Q2

*Free trading refers to $0 commissions for Redbridge self-directed individual cash or margin brokerage accounts that trade U.S. listed securities via the BBAE platform. Relevant SEC & FINRA fees may apply. Please see our Commission and Fee Schedule.

All securities and investments are offered to self-directed customers by Redbridge Securities LLC, a FINRA and SIPC member firm. All investment advisory services are provided by BBAE Advisors LLC, an SEC registered investment advisor. Both BBAE Advisors LLC and Redbridge Securities LLC are wholly-owned subsidiary of BBAE Holdings LLC.

BBAE Advisors LLC's Form ADV Part 2A and Form ADV Part 2A Appendix 1 can be found by clicking here. These documents provide information about the business practices of BBAE Advisors LLC.

All investments involve risk. Past performance of securities of financial products do not guarantee future results or returns. Diversification can help spread risk but it does not assure a profit or protect against losses in a bear market. There is always a potential to lose money when you invest in securities or other financial products. Investors should consider their investment objectives and risks carefully before investing.

Investors should be aware that system response, execution price, speed of execution, liquidity, market data, and account access times are affected by many factors, including market volatility, size and type of order, market conditions, system performance, and other factors.

Margin trading involves risks which include the potential to lose more than the deposited amount and may require the need to deposit additional funds or securities. Before using margin, customers must determine whether this type of trading strategy is right for them given their specific investment objectives, experience, risk tolerance, and financial situation. For more information please see our Margin Disclosure Statement, Margin and Short Account Agreement and FINRA Investor Information. These disclosures contain information on our lending policies, interest charges, and the risks associated with margin accounts.

Investors should consider the investment objectives and unique risk profile of Exchange Traded Funds (ETFs) carefully before investing. ETFs are subject to risks similar to those of other diversified portfolios. Leveraged and Inverse ETFs may not be suitable for all investors and may increase exposure to volatility through the use of leverage, short sales of securities, derivatives and other complex investment strategies.

Although ETFs are designed to provide investment results that generally correspond to the performance of their respective underlying indices, they may not be able to exactly replicate the performance of the indices because of expenses and other factors. A prospectus contains this and other information about the ETF and should be read carefully before investing. Customers should obtain prospectuses from issuers and/or their third party agents who distribute and make prospectuses available for review. ETFs are required to distribute portfolio gains to shareholders at year end. These gains may be generated by portfolio rebalancing or the need to meet diversification requirements. ETF trading will also generate tax consequences. Additional regulatory guidance on Exchange Traded Products can be found by clicking here.

Third party information provided for BBAE product features, BBAE communications, market prices, data and other information available through BBAE are meant for informational purposes only and are not intended as an offer or solicitation for the purchase or sale of any financial instrument or as an official confirmation of any transaction. The information provided is not warranted as to completeness or accuracy and is subject to change without notice. The BBAE website provides its users links to email. The linked email messages are pre-populated. However, these messages can be deleted or edited by BBAE users, who are under no obligation to send any pre-populated messages. Any comments or statements made herein do not reflect the views of BBAE Holdings LLC, Redbridge Securities LLC, BBAE Advisors LLC, Apex Clearing Corporation or any of their subsidiaries or affiliates. Note that certain BBAE product features listed are currently in development and will be available soon.

All customer account statements and confirms will be in English only.

This website is for informational purposes only and does not constitute a complete description of investment advisory services provided by BBAE Advisors LLC. Information on this website does not constitute an offer to provide investment advisory services, nor should it be construed as an offer to buy or sell, or as a solicitation of an offer to buy or sell, securities.

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