Institution record
E TRADE
E TRADE Securities LLC
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms authorised in the uk, ireland and gibraltar) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing E TRADE against peer institutions in our firms authorised in the uk, ireland and gibraltar dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| E TRADE (this record) | NFA | 0 / 1 | Risk level not supplied | — | 0 |
| OANDA | FCAIIROCNFA+3 | 6 / 6 | Risk level not supplied | — | 0 |
| Forex | FCAFSANFA+2 | 5 / 5 | Risk level not supplied | — | 1 |
| StoneX | FCASECMAS+2 | 5 / 5 | Risk level not supplied | — | 0 |
| ATC Brokers | FCACIMANFA | 2 / 3 | Risk level not supplied | — | 0 |
| Kyte | FCANFA | 0 / 2 | Risk level not supplied | — | 0 |
E TRADE: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is E TRADE's regulatory licence status and supervisory authorisation?
In our imported dataset, E TRADE (legal entity reference: E TRADE Securities LLC) holds 1 recorded licence entry, of which 0 carry a "regulated" status and 0 are marked regulated or registered: NFA (National Futures Association) — licence 0320906, status: suspected clone, Tier-2. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official NFA public register.
Which of E TRADE's jurisdictions and licences fall within this site's regulatory coverage?
E TRADE is registered at PO Box 484 Jersey City, NJ 07303-0484 Harborside 2 200 Hudson Street, Suite 501 Jersey City, NJ 07311-1113 and tracked under our firms authorised in the uk, ireland and gibraltar scope based on its institutional service profile (Stocks, Futures, Options, Investment) rather than a domestic focus licence. Its 1 recorded licence (NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is E TRADE's institutional risk classification, enforcement exposure, and score profile?
E TRADE carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts and 1 licence record with elevated status flags (NFA: suspected clone). Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to E TRADE's platforms, entity structure, and complaints?
Before allocating capital or executing trades with E TRADE, institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to NFA.
Related institutional research & regulatory analysis
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