Why don’t I qualify for an account?

There are a number of reasons why you may not be eligible to open an account. As a registered investment adviser, we are subject to regulatory obligations that require us to ensure that we only provide investment advice to clients who are suitable for our product based on their financial situation and investment objectives. This means that sometimes we have to determine that, based on an individual’s circumstances, an investment account is not appropriate for them at this time. Similarly, the custodian, Apex Clearing Corp., is a registered broker-dealer that is subject to regulatory obligations that can limit their ability to open accounts depending on an individual’s circumstances.

 

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