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.

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

Security exclusions can be modified in the Accounts section Settings page.

Will exclusions I request apply to direct trades?

Security exclusions only apply to Window Trades. They do not apply to direct trades or orders places from other trading systems.

Specific Company Exclusions

You can avoid investing in specific companies by entering their security symbols in the field provided. Separate symbols with a comma.

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.