Institution record
E TRADE
E TRADE Securities LLC
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (institutions licensed in offshore financial centres) 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 institutions licensed in offshore financial centres dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| E TRADE (this record) | NFA | 0 / 1 | Risk level not supplied | — | 0 |
| ATC Brokers | CIMANFAFCA | 2 / 3 | Risk level not supplied | — | 0 |
| Seventy Brokers | VFSCNFA | 0 / 2 | Risk level not supplied | — | 0 |
| AETOS | FSAFSCVFSC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Deriv | BVIFSCVFSCLabuan+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Mohicans Markets | VFSCMISAFSC+2 | 4 / 5 | 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 institutions licensed in offshore financial centres 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
Editorial briefings and compliance research from Sovereign Tax Atlas relevant to E TRADE's supervisory scope.
FATCA, CRS & Cross-Border Information Exchange
OECD Pillar Two 15% Global Minimum Tax (GloBE, QDMTT, IIR & UTPR): Limitation on Benefits (LOB), Principal Purpose Test & ATAD 2 Anti-Hybrid Rules (15.0% Minimum Effective Tax Rate Benchmark)
OECD Pillar Two 15% Global Minimum Tax (GloBE, QDMTT, IIR & UTPR) (OECD-GLOBE-QDMTT) stands at 15.0% (Minimum Effective Tax Rate) (Source: OECD/G20 Inclusive Framework, 2026-10-20), governing active trade or business tes
FATCA, CRS & Cross-Border Information Exchange
U.S. IRC Section 892 Sovereign Wealth Fund & Central Bank Tax Exemption: Limitation on Benefits (LOB), Principal Purpose Test & ATAD 2 Anti-Hybrid Rules (0.0% Sovereign US Dividend/Interest WHT Benchmark)
U.S. IRC Section 892 Sovereign Wealth Fund & Central Bank Tax Exemption (US-IRC-892-SOV) stands at 0.0% (Sovereign US Dividend/Interest WHT) (Source: U.S. Internal Revenue Service, 2026-10-20), governing active trade or
Cross-Border Tax Treaties
OECD CRS 2.0, Crypto-Asset Reporting Framework (CARF) & FATCA Model 1 IGA: Limitation on Benefits (LOB), Principal Purpose Test & ATAD 2 Anti-Hybrid Rules (30.0% Non-Compliant FATCA Chapter 4 WHT Benchmark)
OECD CRS 2.0, Crypto-Asset Reporting Framework (CARF) & FATCA Model 1 IGA (CRS2-CARF-FATCA) stands at 30.0% (Non-Compliant FATCA Chapter 4 WHT) (Source: OECD / IRS IRC Sec. 1471, 2026-10-20), governing active trade or bu
OECD Pillar Two & Global Minimum Tax
U.K. Qualifying Asset Holding Company (QAHC) Credit & Private Equity Tax Regime: Limitation on Benefits (LOB), Principal Purpose Test & ATAD 2 Anti-Hybrid Rules (0.0% Outbound UK Interest WHT Benchmark)
U.K. Qualifying Asset Holding Company (QAHC) Credit & Private Equity Tax Regime (UK-QAHC-REGIME) stands at 0.0% (Outbound UK Interest WHT) (Source: UK Finance Act 2022 / HMRC, 2026-10-20), governing active trade or busin