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Licence record

E TRADE: SEC licence 801-37149

Issuing authority
Securities and Exchange Commission
Jurisdiction
United States
Licence type
Dealing in securities

This is Wikilix's record of a licence issued by Securities and Exchange Commission. It sets out what the register says, what we checked, and what the authority's own rules protect.

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Licence intelligence

RecordModified Jul 27, 2026

Licence Verification Record

Securities and Exchange Commission 801-37149

Recorded from the firm's own disclosure. Not yet checked against the register.

Holder
E*TRADE Futures LLC
Issuing authority
Securities and Exchange Commission
Jurisdiction
United States
Licence type
Dealing in securities

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/brokers/e-trade/licenses/securities-and-exchange-commission/801-37149Fields on file 2 / 11

Open E TRADEAll E TRADE licencesAbout SEC
Our check

What we checked

Nobody has adjudicated this licence yet. It is recorded here as claimed, not as confirmed.

Wikilix check
Not checked
Authority strength
Tier 1
Jurisdiction
United States
Last checked
Never

Nobody at Wikilix has looked this licence up on the official register yet. Everything above comes from the record as supplied; treat it as a claim until you have checked it yourself.

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.
The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence number
801-37149
Licence type (Wikilix classification)
Dealing in securities
The authority

About SEC

Securities and Exchange Commission is the authority that issued this licence, and the jurisdiction it applies in is United States.

Full name
Securities and Exchange Commission
Jurisdiction
United States
Strength
Tier 1 (securities)The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
1936
Oversight
A government or statutory body
Firms we track under it
0 firms
Licences it issues
Broker-dealer; investment adviser
Typical cost of a licence
Varies; FINRA and SEC registration fees
Public register
Searchable by the public
Transparency
Medium
Protection

What this licence protects

SEC's own rules for the firms it authorises.

  • Compensation schemeSIPC insures up to $500,000 per customer (including $250,000 cash)
  • Complaints routeSEC Tips/Complaints/Referral
  • Maximum leverage1:50
This describes the authority's regime, not how E TRADE applies it.
The holder

Who holds this licence

The licence above is recorded against E TRADE. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Broker
E*TRADE Futures LLC
Based in
United States
Wikilix score
70.2the firm’s overall score, not a rating of this licence

Recorded companies

None of these matches the name the register printed, so we do not say which one holds this licence.

  • E*TRADE FINANCIAL CORPORATE SERVICES, INC.United States · Reg. 3899696 · Sep 5, 2024
  • E*TRADE FUTURES LLCUnited States · Reg. 3732009 · Sep 15, 2018
  • Morgan Stanley Smith Barney LLCUnited States · Reg. 000504978 · Mar 3, 2009
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Last checked by Wikilix
Never — nobody has looked this entry up yet
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences E TRADE holds

2 other licences are on record for E TRADE.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

Most Popular Questions
E*TRADE Futures LLC is authorized to trade regulated financial instruments including Forex, options, and futures.
E*TRADE offers customer support via phone and live chat during business hours. Support is available in English, and clients can also reach out through social media channels such as Facebook, Twitter, LinkedIn, Instagram, and YouTube. Contact phone numbers and addresses are provided for further assistance.
E*TRADE supports several funding methods including ACH bank transfers, wire transfers, check deposits, mobile check deposits, and ATM or debit card withdrawals for E*TRADE checking accounts. Deposit fees vary by method, with wire transfers typically incurring a USD 25 fee, while ACH transfers are free. Processing times range from instant for debit card withdrawals to several days for check deposits.
E*TRADE Futures LLC is regulated in the United States by the National Futures Association (NFA), the Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority (FINRA). These regulators provide high levels of transparency and client fund insurance up to USD 500,000 through SIPC. The broker operates under onshore licenses and complies with U.S. regulations.
Licence 801-37149 was issued by Securities and Exchange Commission (SEC), the financial authority for United States.
E TRADE holds this SEC licence. A licence on record means the authority published an entry; it is not an endorsement.
Nobody at Wikilix has looked this entry up on the SEC register yet, so treat it as claimed rather than confirmed. That is a gap in our coverage, not a finding against the licence.
Wikilix rates SEC tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
E TRADE has 2 other licences on record with Wikilix, across one jurisdiction. They are listed further down this page.
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