Important Tax and Regulatory Information

Your resource to find regulatory and supplemental information from National Financial Services LLC (NFS).

Important Tax Information

Your broker/dealer has a relationship with National Financial Services LLC (NFS). NFS may provide trade execution, clearing, and other related services for your brokerage account. In this role, NFS distributes required and supplemental information to you regarding your account. If you have any questions regarding the information posted here, please contact your investment professional.

Annual Regulatory Notifications

Annual notices on how NFS protects your account and privacy:

NFS Statement of Financial Condition

NFS Privacy Notice (PDF)

NFS Business Continuity Statement (PDF)

Safeguarding Accounts

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