Our Firm and AXOS
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What is a custodian?
A custodian is a financial institution that has certain regulatory responsibilities for an investor’s securities.
Investments that you entrust to our firm are placed in custody with AXOS, a leading provider of clearing and custody solutions for over 14 years. A clearing firm is an organization that, among other things, handles the execution, clearance, and settlement of transactions.
When you’re selecting your financial professional, considering whom they use to custody your investments can be critical.
How we work together for you
AXOS is a global provider of financial services. Founded in 2001, the firm is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and many other financial products and serves approximately 100 introducing broker dealers. For more information about AXOS, visit axosclearing.com.
AXOS Clearing is a member of the Securities Investor Protection Corporation (SIPC), which provides coverage for accounts up to $500,000 (including up to $250,000 in cash) per client as defined by SIPC rules.
AXOS Clearing’s policy through Lloyd’s of London provides additional account coverage up to $24.5 million (including up to $1,150,000 in cash) per client as defined by SIPC rules. With both SIPC and Lloyd’s of London coverage, accounts are protected up to a total of $25 million per client (as defined by SIPC rules) including up to $1,150,000 for cash balances, with an aggregate limit of $100 million.
This coverage does not protect against the loss of the market value of securities.