Institution record
TradeZero
TradeZero International
- Source score
- 5.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage Securities Commission of The Bahamas | Not supplied | Registered | TradeZero International | 2015 | |
In our coverage Investment Industry Regulatory Organization of Canada | Not supplied | Regulated | TradeZero Canada Securities ULC | 2020 | |
In our coverage U.S. Securities and Exchange Commission (SEC) | 8-69736 | Regulated | TRADEZERO AMERICA, INC. | 2019 | |
In our coverage Financial Industry Regulatory Authority | 282940 | Regulated | TRADEZERO AMERICA, INC. | 2019 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing TradeZero against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| TradeZero (this record) | SCBIIROCU.S. Securities and Exchange Commission (SEC)+1 | 3 / 4 | Risk level not supplied | 5.0 | 0 |
SCB | 0 / 1 | Risk level not supplied | 6.0 | 0 | |
IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 | |
FINRA | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
FINRA | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
FINRA | 0 / 1 | Risk level not supplied | 5.0 | 0 |
TradeZero: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is TradeZero's regulatory licence status and supervisory authorisation?
In our imported dataset, TradeZero (legal entity reference: TradeZero International) holds 4 recorded licence entries, of which 3 carry a "regulated" status and 4 are marked regulated or registered: SCB (Securities Commission of The Bahamas) — licence Not supplied, status: registered; IIROC (Investment Industry Regulatory Organization of Canada) — licence Not supplied, status: regulated; U.S. Securities and Exchange Commission (SEC) — licence 8-69736, status: regulated; FINRA (Financial Industry Regulatory Authority) — licence 282940, status: regulated. 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 SCB, IIROC, U.S. Securities and Exchange Commission (SEC) public register.
Which of TradeZero's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on stock brokers, investment platforms and wealth managers. 4 of TradeZero's 4 licence records fall directly within this jurisdictional mandate: SCB (licence Not supplied, registered, entity: TradeZero International); IIROC (licence Not supplied, regulated, entity: TradeZero Canada Securities ULC); U.S. Securities and Exchange Commission (SEC) (licence 8-69736, regulated, entity: TRADEZERO AMERICA, INC.); FINRA (licence 282940, regulated, entity: TRADEZERO AMERICA, INC.). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is TradeZero's institutional risk classification, enforcement exposure, and score profile?
TradeZero carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 4.0, brand: 4.0, market influence: 4.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. 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 TradeZero's platforms, entity structure, and complaints?
Before allocating capital or executing trades with TradeZero, institutional and retail allocators should: (1) confirm the domain (tradezero.com) 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 SCB.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to TradeZero's supervisory scope.
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