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Invest With Us: Window Trades

What is a Window Trade?

“Window Trading” is an innovative and patented way of executing orders that is designed for long-term investors. Instead of being executed immediately, orders are grouped together by side and symbol one or more times per day and executed. Please consult our website for current Window Trade times and frequency

How do I buy and sell non-Window tradable Securities?

To buy and sell non-Window tradable securities:

  1. Go to the client’s accounts page
  2. In the Actions menu located next to the Folio, select Prepare a Direct Trade
  3. Under Actions select buy or sell next to the security you are trading
  4. Select Preview Order
  5. Then select Place Order to complete the trade

Please contact us if:

  • You wish to sell a non-Window tradable security and are unable to place this order through a Direct Trade
  • You wish to sell a security your client owns that has no value. In order to remove a valueless security from your client’s account, your client will need to sign a letter of indemnity.

View a list of our non-Window tradable securities

How do I cancel a Window Trade before it is executed?

To cancel a Window Trade before it is executed:

  1. Go to the client’s accounts page
  2. In the Actions menu located next to the Folio, select Order Status
  3. Under Status select Cancel
  4. Select Yes to confirm cancelling the order

If a trade is processing you will not have the option to cancel it.