SEC/FINRA

Securities in accounts carried by National Financial Services, LLC (NFS) are protected in accordance with the Securities Investor Protection Corporation (SIPC) up to $500,000. The $500,000 total amount of SIPC protection is inclusive of up to $250,000 protection for claims for cash, subject to periodic adjustments for inflation in accordance with terms of the SIPC statute and approval by SIPC's Board of Directors. NFS has also arranged for additional protection for cash and covered securities called "excess of SIPC" coverage, from Lloyd's of London together with other insurers1. This additional protection would only be usedwhen SIPC coverage is exhausted. Total aggregate excess of SIPC coverage availablethrough NFS's excess of SIPC policy is $1 billion. Within NFS's excess of SIPC coverage,there is no per account dollar limit on coverage of securities, but there is a per account limit of$1.9 million on coverage of cash awaiting investment.

This is the maximum excess of SIPC protection currently available in the brokerage industry. Neither coverage protects against a decline in the market value of securities, nor do they cover other claims for losses incurred while broker-dealers remain in business. Certain securities are not eligible for SIPC or excess of SIPC coverage2. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call 1-202-371-8300. For ratings and more information about Lloyd's please go to http://www.lloyds.com/Lloyds_Market/Ratings/.

Customer Privacy Policy

Rule 605 and 606

Section 16: Insider Filings

Business Continuity Plan

Customer Identification Program Notice

Bond Investing

Mutual Fund Breakpoint Search Tool

NASD Mutual Fund Expense Analyzer

ECN Extended Hours Information

Characteristics & Risks of Standardized Options

--- January 2011 ODD Definitive Supplement

--- March 2011 ODD Definitive Supplement

--- January 2012 ODD Definitive Supplement

For more information, please contact the 
Compliance Department 
1001 Fourth Avenue, 22nd Floor 
Seattle, WA 98154 
206-622-7200

SEC | www.sec.gov

FINRA | www.finra.org

SIPC | http://www.sipc.org

1 Fidelity's excess of SIPC insurance is provided by Lloyd's of London together with Axis Specialty Europe Ltd. and Munich Reinsurance Co.

2 Among the assets typically not eligible for SIPC or excess of SIPC protection are commodity futures contracts, currency, and precious metals, as well as investment contracts (such as limited partnerships) and fixed annuity contracts that are not registered with the U.S. Securities and Exchange Commission under the Securities Act of 1933.


 

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