DASTA Financial, LLC (“DASTA Financial”) is an SEC- registered broker dealer, member FINRA and SIPC. Please carefully review this annual disclosure statement as it contains important information about your brokerage account with DASTA Financial.

Form CRS (“Customer Relationship Summary”)

The goal of the CRS is to empower investors with clear and concise information, enabling them to make informed decisions about their financial relationships and investments with DASTA Financial. It helps investors understand the services they're receiving, the associated costs, and the potential conflicts of interest, ultimately promoting transparency and investor protection.

You can find DASTA Financial’s CRS here.

 Anti-Money Laundering

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. This notice answers some questions about DASTA Financial’s Customer Identification Program (CIP)

 What type of information do you collect?

In order to open a brokerage account, DASTA Financial will collect the following information: (1) legal name; (2) date of birth; (3) residential address; and (4) taxpayer identification number for a U.S. person. In the case of a customer who has applied for a taxpayer identification number but has not yet received it, a notation will be made on the new account application and must be received within 5 days of opening the account. You may also need to show your driver’s license or other identifying documentation.

In addition to the identifying information above, the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) require you to provide additional information such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

If DASTA Financial is unable to verify your identity, DASTA Financial will not open an account for you. DASTA Financial reserves the right to request additional information or documentation such as a driver’s license or other identifying information mentioned above. If there is a change in the information you provided to  DASTA Financial, please contact support@dubapp.com.

 Privacy Notice and Policy

The DASTA Privacy Policy is available here.

 FINRA Broker Check

Pursuant to FINRA (Rule 2267), we encourage you to visit the FINRA BrokerCheck website,  a free tool that provides investors with background and regulatory information on FINRA member DASTA Financial and its registered representatives. This information can be obtained at https://brokercheck.finra.org/. If you need assistance, you may call the BrokerCheck Help Line at (800) 289-9999, send an email to BrokerCheck@finra.org or complete the BrokerCheck Survey. In addition, FINRA has provided a copy of an investor brochure that includes information describing FINRA BrokerCheck that can be obtained by calling the BrokerCheck Helpline at (800) 289-9999 or accessing the FINRA BrokerCheck website.

Information on Securities Investor Protection Corporation (“SIPC”)

DASTA Financial, LLC is a member of SIPC, which protects securities of customers of its members up to $500,000 (including $250,000 for claims for cash). Additional information regarding SIPC, including SIPC brochure, is available by contacting SIPC at (202) 371-8300 or visit www.sipc.org.

Order Routing

SEC Rule 606(a) requires every brokerage firm to publish quarterly reports with information regarding the routing of held, non-directed orders in Reg NMS stocks and listed options.

DASTA Financial’s most recent quarterly SEC Rule 606 order routing information is available at Order Routing.

In addition, pursuant to SEC Rule 606, Apex Clearing Corporation ("Apex Clearing")is required to make publicly available a quarterly report about its routing of non‐directed orders. For the purpose of this Rule, Apex Clearing has entered into an agreement with S3 Matching Technologies LP to disclose all required information pertaining to this rule. This information can be accessed at www.apexclearing.com.

Payment for Order Flow

SEC Rule 607 requires registered broker dealers to disclose their policies regarding the receipt of “payment for order flow” in connection with the routing of certain customer orders. “Payment for order flow” includes, among other things, any monetary payment, service, property, or other benefit that results in renumeration, compensation, or consideration to a broker-dealer from any broker-dealer or exchange in return for routing orders.

All orders are directed to Apex Clearing. Apex Clearing sends certain equity orders to exchanges, electronic communication networks, or broker‐dealers during normal business hours and during extended trading sessions. Some of those market centers provide payments to Apex Clearing, or charge access fees depending upon the characteristics of the order and any subsequent execution. In addition, Apex Clearing may execute certain equity orders as principal. DASTA Financial pays all fees and receives a renumeration from any revenues collected by APEX for order flow. The details of these payments and fees are available upon written request.

 Business Continuity

DASTA Financial has developed a Business Continuity and Disaster Recovery Plan to ensure business continuity during significant business disruptions. As an introducing broker dealer, it is vital for DASTA Financial to ensure its clearing broker, Apex Clearing Corporation (“APEX”), and other vendors provide a variety of services that provide for the provision of technological and operational support during such events. Please see DASTA Financial’s Business Continuity Plan for more information. 

Trusted Contact Person

You can add or change a Trusted Contact Person for your account at any time. If you would like to add or change a Trusted Contact Person, you may do so by selecting account settings in the upper right corner of the app and selecting Trusted Contact Person. DASTA Financial is authorized to contact the “Trusted Contact Person” designated for your account and to disclose information about your account to investigate possible financial exploitation, and confirm the specifics of your current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165.

APEX Clearing’s Annual Disclosure Statement

DASTA Financial is an introducing broker who introduces your account to Apex Clearing on a fully disclosed basis. Apex Clearing provides execution and custody services to you and it is important that you review Apex Clearing’s Annual Disclosures Statement for additional important information about your account.

 Complaints

Any complaint may be directed to support@dubapp.com or the following address:

DASTA Financial, LLC

101 Greenwich Street, Floor 2, Suite 402

New York, NY 10006

Attention: Customer Support

Please contact us via email at support@dubapp.com if you have any questions regarding this Annual Disclosure Statement.

Securities trading offered by DASTA Financial, LLC (“DASTA”) member FINRA & SIPC.