About Us

AQUAS Financial is a Broker-Dealer & Carrying Firm, proudly serving both financial professionals and retail investors. Our mission is to equip our clients with robust trading tools and dedicated support designed to help manage the inherent risks of the market.

We continuously evolve our AQUAS Blue EMS and AQUAS Office toolsets, integrating insights from our innovative development team and direct client collaboration. This commitment ensures our platforms are designed with active traders in mind.

Our hand-selected service team brings decades of experience in market operations and a wealth of knowledge to our firm, driving the ongoing innovation and design of our comprehensive product and service offerings. We understand that intuitive and efficient tools are fundamental in any trading endeavor. Given the dynamic and volatile nature of trading operations, we are committed to providing the advanced tools and resources our clients need.

AQUAS Financial is a FINRA-registered Broker-Dealer & Carrying Firm, servicing financial professionals and retail investors. Our aim is to provide our clients with a suite of advanced tools, along with the competent support they require to navigate the market effectively. Our AQUAS Blue EMS and AQUAS Office toolset are constantly evolving thanks to our elite development team and close client collaboration. "Designed by traders, for traders" is not just our slogan; it’s a reality. Our hand-selected, tier-1 service team has extensive experience in market operations and brings a wealth of knowledge to our firm, driving innovation and design across our unique and modern line of products and services. Intuitive and efficient tools are the foundation of success in any endeavor. The critical and volatile nature of trading operations only highlights our responsibility and commitment to deliver such tools to all of our clients.

Leadership

Wayne Wurtsbaugh

Wayne is a 30-year financial markets entrepreneur, who in 1994 at age 25, co-founded Investec Securities Corp, a securities market maker and broker dealer that provided liquidity for equity securities, leveraging its own proprietary software and trading platform. Thereafter, Wayne and his partner, Ben Van Zyl, founded a capital markets services firm called Direct Access Financial Corporation in Frisco, Texas, in 1999.

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Jeff Janowski

Jeff is the Head of Electronic Trading with over 15 years of expertise, driving innovation and efficiency in global financial markets.  He collaborates closely with technology, support, and compliance teams to align trading infrastructure with evolving client needs and regulatory frameworks.  He has a passion for the markets, always striving to increase his knowledge base and holds Series 4, 6, 7, 9, 10, 14, 22, 24, 26, 39, 52, 53, 57, 63, 82, 99 securities licenses.

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Johnathan Hampton

Johnathan leads revenue growth, marketing, and client retention as Chief Revenue Officer at Aquas Financial. With 20+ years in financial services, his proven track record includes sales of Execution and Order Management Systems, Governance, Compliance, and Risk services, and low-latency market data. Additionally, Johnathan serves as President of the Dallas Security Traders Association for 2025 and is a respected thought leader, regularly contributing to industry discussions through panel appearances and press interviews.

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Risk Disclosure Statement

Understanding the Risks of Using Our Trading Platform While we strive to provide a robust and secure trading environment, it is crucial for all users to understand the inherent risks associated with electronic trading platforms and financial technology. This disclosure outlines some of these potential risks, though it is not an exhaustive list:

Technology Risk Disclosure

Cybersecurity Risks
- Unauthorized Access: There is a risk of potential privacy violations, hacking attempts, and data breaches by cybercriminals, which could compromise your personal and financial information.
- Malware and Ransomware: Your access to trading or data could be disrupted, stolen, or blocked by malicious software like malware or ransomware.
Operational and System Risks
- System Failures: Our platform, like any complex technology, can experience bugs, outages, delays, or other disruptions. These issues may affect trading execution, potentially leading to missed opportunities or unintended outcomes.
- Data Integrity: Flaws or inaccuracies in data feeds can occur, which might lead to unfavorable trading decisions or outcomes based on incorrect information.
- Connectivity Issues: Problems with internet connection or network infrastructure (either on your end or ours) can delay or prevent timely trading, impacting your ability to execute orders as intended.
- Monitoring Challenges: Despite our best efforts, challenges can arise in system monitoring, including issues with data input, procedural violations, or inaccurate setting of parameters, which could impact the system's performance or compliance.
Regulatory and Market Risks
- Regulatory Changes: The financial regulatory landscape is dynamic. Unpredictability of future regulations can result in new requirements, fines, penalties, or legal repercussions for the firm, which may indirectly impact services or costs.
- Technology Limitations: Even with advanced technology, system defenses are not infallible. We continuously work to enhance our security and performance, but no system can guarantee absolute protection against all threats or perfect operation at all times.
Technology Investment and Service Impact
- Maintaining effective, cutting-edge technology, especially with the rapid development of areas like Artificial Intelligence, involves significant costs. While we invest heavily in our platform, these costs can influence service offerings and pricing.

Your Responsibility

It is essential that you understand these risks before engaging in trading activities on any electronic platform. By using our services, you acknowledge these inherent risks. We encourage you to implement your own robust security practices and to continuously educate yourself on market and technology risks.

Rule 606/605 Reporting

Our platform automates compliance with SEC Rules 605 and 606, delivering full transparency into order execution and routing practices.

‍Rule 605 (Execution Quality):
We generate detailed execution quality reports, including metrics like execution speed, price improvement, and fill rates, ensuring your firm meets disclosure requirements with accuracy and consistency.

‍Rule 606 (Order Routing):
Our system compiles and delivers both public and customer-specific reports on order routing, including venue usage and payment for order flow (PFOF) disclosures, helping your firm stay compliant and transparent.With our built-in 605/606 reporting engine, you can streamline regulatory workflows, reduce manual effort, and demonstrate a commitment to best execution.