Trade Reporting

Online Account Access

After entering your credintials, you will be taken to the following screen. Click on “Online Account Access” to be taken to your Account Summary Page.

Account Summary Page

After intitial login, the Account Summary page will become your landing page. This screen will give you a financial snapshot of your account. You will see the following information:

• Buying Power – Day Trading and Overnight
• Equity – Margin Equity, Equity Percentage and Total Account Value
• Balances – Trade Date and Settlement Date balances
• Positions – Trade Date and Settlement Date balances of your current positions

Account Balances Page

The Balances page, which is located under the Account Information tab, enables you to enter a date to query your trade and settlement date balances for the close of business on any given day.

Buying Power Page

The Buying Power page, which is located under the Account Information tab, will show you both your day trading (intraday) and overnight buying power. Your cash account balance will also be displayed here. Additionally, you have the ability to enter a date to query what your buying power was at the close of business for any day prior.

Cash History Page

The Cash History page, located under the Account Information tab, allows you to see all of your cash activity based on date criteria you set. Use this page to view any deposits or withdrawals into and out of your account, check for interest charges or credits as well as dividend receipts and payments. The activity can also be filtered to include or exclude cash sweeps.

Customer Information

The Customer Info page, which is located under the Account Information tab, offers you a snapshot of your account profile. Included, among other pertinent information, are your account number, account type, account name, address, phone #, DOB, tax ID, financial profile, investment objective(s), and details of any ACH relationships you’ve established with your account, if any. You may click the “Change Address” link to automatically update the address and/or phone number on file at Penson..

Margin Call Summary

The Margin Call Summary page, which is located under the Account Information tab, is useful for quickly identifying if there are any open calls on your account. It displays the trade date on which a call is generated, the due date, and the amount due. Information is provided on each of the basis call types, how they are generated, and how they can be met.

Account Positions

The Positions page, which is located under the Account Information tab, enables you to view details of all of the positions you’ve held through the close of business on any date prior to the current trade date. Details include Symbol, CUSIP, Description, Security Type, Quantity and Closing Price, among others.

Trade Activity Screen

Your Trade Activity can be found under the Account Information tab. Enter the desired date range and select “Go”. All trade activity for the selected period will be displayed and can be viewed online or saved to a disk. You can focus your query by using the filtering tool to narrow your search based on Symbol, Price, Quantity or Date.

Update Profile

The Update Profile page is located under the Tools tab. Here you can view and update your current e-mail address, language preference, security question, and selections for electronic document delivery.

Account Statements Page

Your Account Statements can be found under the Reports tab. Simply select “go” from the Account Statements and another window called “Electronic Documents” will appear. Enter the desired date range and select “search”. Historical statements for the previous 13 months will be displayed according to your search criteria and can be viewed online or saved to a disk.

Profit and Loss Page

The Profit and Loss page is located under the Reports tab. You can search for trade activity by entering a date range and selecting the “go” button.

Profit and Loss Activity

Once you have entered the desired date range and selected “go”, you will see this screen. This will display all of your trade activity for the chosen time period. You can sort the displayed activity by clicking on any of the column headers. Once you have found the range you are looking for, you can get a full profit and loss statement by clicking on “Email Report”.

Profit and Loss Email

When you select “Email Report”, you will be prompted with this screen. When you enter an email address in the box and select “Email Report” a full PDF profit and loss report for the time period selected will be sent to the designated email address..

Profit and Loss PDF

This report will show all matched and unmatched trades during the selected time period. Information displayed will include:

• Symbol Traded
• Purchase and Sale date
• Purchase costs, Sale proceeds and Commissions
• Profit and Loss