Institution record
E*TRADE
- Source score
- 5.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Industry Regulatory Authority | 29106 | Registered | E*TRADE SECURITIES LLC | 2002-05-02 |
Peer source record comparison
Compare imported fields for E*TRADE and other records in our listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| E*TRADE (this record) | FINRA | 0 / 1 | Risk level not supplied | 5.0 | 0 |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | 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?
The imported dataset contains 1 licence entry associated with E*TRADE (legal entity reference: E*TRADE); 0 are labelled "regulated" and 1 are labelled regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence 29106, status: registered. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official FINRA public register.
Which of E*TRADE's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
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, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 6.0, brand: 6.0, market influence: 6.0, user reputation: 0.0). The imported source lists 0 exposure entries. 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 (us.etrade.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.