Terms, privacy and disclosures
The terms that govern use of this website, how we handle personal data, the risks of investing, and the rules we follow when we market the platform.
- Home
- Legal
Using this website
By accessing this website you agree to these terms. If you do not agree with them, please do not use the site or the platform.
Nature of the service. Dolphin Trade Pro provides software, research tooling and portfolio automation. It is not a broker-dealer, it does not execute orders, it does not hold client funds or securities and it does not provide individualised investment advice or act as a fiduciary for your account. Securities brokerage services, order execution, clearing and custody are provided by Alpaca Securities LLC.
Your account relationship. Securities accounts are opened with Alpaca Securities LLC on a fully disclosed basis, and are governed by the account agreements you accept with that broker-dealer. Those agreements, not these terms, define your rights in relation to your account, your positions and your cash.
No offer. Nothing on this website is an offer or solicitation to buy or sell any security, or a recommendation to adopt any investment strategy. Any decision to invest is yours, based on your own circumstances.
Eligibility. You must be legally able to enter into a binding contract and must complete the broker-dealer's onboarding, identity verification, sanctions screening and suitability process before an account is opened.
Intellectual property. The content of this website belongs to Dolphin Trade Pro or is used with permission. Company names, marks and logos of third parties — including Alpaca, FINRA and SIPC — belong to their respective owners and are used for identification only.
Third-party services and links. We are not responsible for the content, availability or practices of third-party websites or services, including the broker-dealer's systems.
Availability and changes. The website and platform are provided on an "as available" basis, without warranties of any kind. We may change, suspend or withdraw any part of the service, and we may update these terms at any time.
Limitation of liability. To the extent permitted by law, Dolphin Trade Pro is not liable for indirect or consequential loss arising from use of the website or the platform, including loss of profits or loss of data.
Questions about these terms: compliance@dolphintradepro.com.
What we do with your data
What we collect. Account and identification data you provide when you register (name, contact details, date of birth, tax status and the documents required for verification), device and usage data generated by the app and website, and the content of your communications with us.
Why we collect it. To operate and secure the platform, to pass the information required for brokerage onboarding and AML checks to Alpaca Securities LLC, to provide support, to prevent fraud, and to meet our own legal and regulatory obligations.
Who we share it with. Alpaca Securities LLC and its service providers as necessary for the brokerage relationship; technology, communications and security providers acting on our instructions; professional advisers; and regulators or law enforcement where we are legally required to respond. We do not sell personal data.
Retention. We keep personal data for as long as the relationship requires and for the record-keeping periods required by applicable anti-money-laundering and other laws, after which it is deleted or anonymised.
Security. We use access controls, encryption in transit, two-factor authentication for platform accounts and logging of administrative access. No system is immune to compromise, and we will notify affected users and regulators where the law requires it.
Your choices. You can request access to, correction of, or deletion of the personal data we hold about you, subject to our legal retention obligations, and you can object to marketing communications at any time. Requests go to compliance@dolphintradepro.com.
Cookies. This website uses only the storage needed to make the pages work and to keep basic anonymous usage statistics. It does not use advertising trackers.
The risks you are taking
Market and concentration risk
Prices move with markets, sectors, interest rates and events we cannot control. A concentrated portfolio — including one generated by a strategy profile or a high-conviction signal — can fall further and faster than a diversified one.
Strategy and model risk
Our signal engine and strategy profiles are models. Models rest on assumptions and historical relationships that can break down, and they can behave unpredictably in conditions that were not represented in their design.
Fractional share, options and volatility risk
Fractional positions can be harder to transfer and may limit voting rights. Listed options can expire worthless and can carry leverage that magnifies losses. High-volatility instruments can move far beyond the range you expected.
Custody, provider and operational risk
Your assets are held by Alpaca Securities LLC rather than by us. SIPC and Excess SIPC protection apply if the broker-dealer fails, not if the market falls. Operational failures, outages, or a decision by the broker to change or withdraw a service can interrupt your access to the platform.
Currency and cross-border risk
If your base currency is not the US dollar, exchange-rate movements will affect your returns independently of the performance of your investments, and local tax and reporting rules in your country of residence will also apply.
How we describe ourselves, and the limits
Brokerage and custody
Securities brokerage services, order execution, clearing and custody are provided by Alpaca Securities LLC, a broker-dealer registered with the US Securities and Exchange Commission, a member of FINRA (CRD# 288202) and a member of SIPC. Dolphin Trade Pro is not a broker-dealer and does not claim to be one. It does not hold, receive, control or commingle client cash or securities.
Investor protection wording
Accounts carried by Alpaca Securities LLC are protected by SIPC up to $500,000 per account, including up to $250,000 for cash claims. SIPC protection applies if a broker-dealer fails and customer assets are missing; it does not protect against market losses, and it is not a guarantee of investment performance.
Excess SIPC insurance of up to $75,000,000 for securities and $75,000,000 for cash per client is carried by Alpaca Securities LLC and placed with Lloyds of London.
Registration wording
Dolphin Trade Pro INC is registered with FinCEN as a Money Services Business under registration number 31000312649075. This is an anti-money-laundering registration. It is not a securities licence, not a broker-dealer licence and not an endorsement of the platform, its products or its performance by FinCEN, the SEC, FINRA, SIPC or any other authority.
Performance figures and objectives
Percentage objectives, reference returns, ratios and similar figures shown on this website are illustrative modelling references for the strategy profiles described. They are not forecasts, promises or projections, they are not audited, and they are not the results of any client account. Past performance does not guarantee future results, and you may lose money.
Third-party names and advisory relationships
Names, marks and logos of third parties, including Alpaca, FINRA, SIPC, DTCC, OCC and FICC, belong to their respective owners and are used for identification purposes only. Their use does not imply any sponsorship, endorsement or approval of Dolphin Trade Pro or of any product described on this website.
Advisory relationships described on our leadership page are commercial consulting engagements. Advisors do not hold client assets, do not execute orders, do not solicit investors and are not compensated for investment performance.
If you see these claims elsewhere
Dolphin Trade Pro does not promise guaranteed returns, does not accept deposits into personal accounts, does not operate trading groups on messaging apps, and does not ask clients for remote access to their devices. Any communication claiming otherwise is unauthorised; please report it to compliance@dolphintradepro.com.
Ready to see how the platform works?
Securities accounts are opened with, and carried by, Alpaca Securities LLC, member FINRA/SIPC. Dolphin Trade Pro provides the technology, the signal engine and the portfolio tools.