Help Center

Manage Your Account: Security Exclusions

*Note: Depending on your user access level, and if you have an advisor who can access your account, some of the functions described here may not be available to you, or may be performed by your advisor.

Social Issue Exclusions

You can exclude companies whose products or services you find objectionable. FOLIOfn relies on and interprets data provided by The Investor Responsibility Research Center (IRRC) to identify these companies. IRRC is a leading authority on socially responsible investing with more than 25 years of experience researching corporate social responsibility issues. While IRRC gathers data from reliable sources, FOLIOfn and IRRC cannot guarantee its accuracy and completeness.

Alcohol

Select this option to exclude companies that manufacture alcoholic beverages or market such products under their own brand name. This option will not exclude retail and wholesale distributors who sell, but do not produce, alcoholic beverages from your Folios.

Animal Factory Farming

Many investors are looking to avoid the animal abuse and consumer backlash associated with factory farm practices. Though there are many publicly-owned food companies with ties to factory farming, this particular exclusion list is updated with information provided by The Humane Society of the United States (HSUS), based on the organization’s view of companies that are not moving with consumer expectations on the most important animal well-being issues.

Gambling

Select this option to exclude companies that operate a casino, racetrack, or lottery, or that manufacture gaming and lottery equipment.

Genocide

Exclusion list updated with information provided by the Genocide Intervention Network. This list of companies is not visible to the public, but will trigger trade level exclusion warnings for your accounts which you can then review.

K-1 Securities

The K-1 exclusion category comprises companies that provide shareholders a Schedule K-1 to be used in connection with reporting to the IRS. These companies generally pass certain gains or losses through to their shareholders. The Schedule K-1 is used to report each individual shareholder?s share of those items, and requires such individual shareholders to report such items when filing their individual taxes.

Military Weapons and Firearms

Select this option to exclude companies that contract with the US Department of Defense to provide goods and services for armament and delivery weapon systems. Armaments include naval, land-based, and aircraft gun and fire-control systems; tactical missiles and their warheads and launchers; torpedoes; bombs; and ammunition and other explosive devices. Delivery platforms include bomber, fighter, and attack aircraft; long-range strategic missiles; warships; armored land vehicles; and related major components-including engines and other propulsion systems-used on these systems.

Companies that provide general goods and services to the US military, such as healthcare and telecommunication services, will not be excluded from your Folios.

Nuclear Power

Select this option to exclude companies that generate or derive electricity from nuclear power, or that provide essential goods and services to the nuclear power industry.

Tobacco

Select this option to exclude companies that manufacture tobacco products or provide essential goods and services to the tobacco industry. Retail and wholesale distributors who sell, but do not produce, tobacco products will not be excluded from your Folios.

Specific Company Exclusions

You can avoid investing in specific companies by entering their security symbols in the field provided. Separate symbols with a comma. For example, to exclude Microsoft, Boeing, and Coca-Cola, type MSFT, BA, KO.

Select the Security Lookup button if you need to find a company’s security symbol.

Will exclusions I request apply to direct trades in my Non-Folio Holdings?

Security exclusions do not apply to direct trades in your Non-Folio Holdings. If you try to place a direct trade for a security you have excluded, you will not be notified before placing the order.

Can I exclude window securities and non-window securities?

You can exclude securities that are not currently on our list of window securities. We let you do that because those securities might become window securities in the future. If they do and you try to buy a Folio, we will tell you if a security you excluded is in your order.

If you place a direct trade to buy a security that you excluded, we will not tell you that the security is in your direct trade order. That’s because you have to enter securities by their symbols when you place a direct trade.

How do I add or remove security exclusions in the future?

Your security exclusions can be modified any time. To modify your security exclusions, select the Settings tab. You will go to the Settings page. Select Security Exclusions below the account name. Keep in mind, security exclusions you place for one account will not automatically apply to other accounts you may own.