STATEMENTS: October Quarterly Inserts

As a FINRA-registered broker-dealer, we are obligated to provide end investors with regulatory information, notices, and disclosures regarding Axos Clearing, LLC and Axos Advisor Services. These materials will be included in our upcoming quarterly statement mailings.

Annual Privacy Notice to Account Owners
Axos Advisor Services is required to provide account owners with an annual Privacy Notice, as federal law mandates that we inform investors how we collect, share, and protect their personal information and how they can opt out of certain types of data sharing. This notice will be included as an insert and is also available on our website: axosclearing.com/privacy-notice/

Statement of Financial Condition
In compliance with Securities Exchange Act Rule 17a-5(c), Axos Clearing, LLC (“Axos” or “Axos Clearing”) is required to provide its Statement of Financial Condition to all end investors on a biannual basis. This information will be included as an insert and is also available on our website: axosclearing.com/disclosures/

Fee Disclosure
Axos Advisor Services is required to provide account owners with a fee schedule that represents any potential charges that can be applied to their account and 30 days’ notice of imposing of any fee changes. This document provides an overview of the standard pricing for activities such as trading, special assets, administration, and money movement. While some rates may have been negotiated with your Strategic Account Manager, we are obligated to share the Standard Fee Schedule with all end investors. This information will be included as an insert and is also available on our website: axosadvisorservices.com/feeschedule/ If you have any questions or need further information, please contact your Client Service Advocate.