Important Regulatory and Legal Notices

  • 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

  • Mutual Fund Break Point Disclosure Statement

  • FINRA Public Disclosure Information (301) 590-6500

  • 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 2017-09-19).

    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