Trust & Compliance
Regulatory & Disclosures Center
Registration status, firm disclosures, risk information and legal documents, published after verification, updated as required.
Firm Registration Status
Verification in progress. SEC registration, FINRA membership, CRD number and any applicable state registrations, along with BrokerCheck links and SIPC status, will be published in this section only after formal confirmation by counsel. We do not display regulatory claims, badges or membership logos until verified.
- SEC registration detailsPending verification
- FINRA membership & CRD numberPending verification
- State notice filingsPending verification
- SIPC membership applicabilityPending verification
- Clearing / custody relationshipsPending verification
Compliance Commitments
This website is operated under a verification-first publishing standard. No performance statistics, client counts, assets under management, years in business, awards, office locations or regulatory memberships are claimed on any page without verified documentation.
- All financial claims require legal sign-off before publication
- Demo and simulated data is always clearly labeled as such
- Marketing content is reviewed against fair-dealing communication standards
- Disclosure updates are logged and timestamped in our CMS
Questions about the firm's regulatory standing can be directed to our compliance team via the contact page.
Risk Disclosures
Investment Risk
All investing involves risk, including the possible loss of principal. The value of securities fluctuates with market conditions and may fall below the amount invested. Past performance is no guarantee of future results.
Market Volatility
Markets can move rapidly and unpredictably. Circuit breakers, halts and liquidity gaps can affect execution prices and timing. Diversification does not ensure a profit or protect against loss in declining markets.
Options Risk
Options involve significant risk and are not suitable for all investors. Certain strategies can result in losses exceeding the initial investment. Prior to buying or selling an option, investors must read the document 'Characteristics and Risks of Standardized Options', available in the Documents Center and at theocc.com.
Margin Risk
Trading on margin involves borrowing money and can result in losses greater than deposited funds. The firm can force the sale of securities without notice to meet margin calls. Review the Margin Disclosure Statement before using margin.
Performance & Hypothetical Data
Back-tested, simulated or hypothetical results, including any demo data displayed on this website, have inherent limitations and do not represent actual trading. They are prepared with the benefit of hindsight.
Third-Party Data
Market data, research and news displayed on the platform are provided for informational purposes. While sources are believed reliable, accuracy, timeliness and completeness are not guaranteed. Demo data is always clearly labeled.
Document Library
Legal Documents & Disclosures
US Global Star Trading LLC reserves the right to update these documents; material changes are communicated to clients. Summaries on this page are provided for convenience, the governing versions are delivered in account documentation.