Institution record
Zacks Trade
LBMZ Securities
- Source score
- 1.5
- 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.
No licence records on file for this institution.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Zacks Trade against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Zacks Trade (this record) | None on file | 0 / 0 | Risk level not supplied | 1.5 | 0 |
SCBIIROCU.S. Securities and Exchange Commission (SEC)+1 | 3 / 4 | Risk level not supplied | 5.0 | 0 | |
IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 | |
Financial Conduct AuthorityCYSECMFSA | 3 / 3 | Risk level not supplied | 6.0 | 0 | |
SFCSFC | 2 / 2 | Risk level not supplied | 6.0 | 0 | |
SFCSFC | 1 / 2 | Risk level not supplied | 5.0 | 0 |
Zacks Trade: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Zacks Trade's regulatory licence status and supervisory authorisation?
Our imported dataset currently holds 0 verified regulatory licence records for Zacks Trade (LBMZ Securities), registered at 10 S. Riverside Plaza, Suite 1600 Chicago, IL 60606 and tracked under our stock brokers, investment platforms and wealth managers scope. Prospective counterparties should request primary registration certificates and cross-check the contracting entity directly on the relevant national financial supervisor's public register before onboarding.
Which of Zacks Trade's jurisdictions and licences fall within this site's regulatory coverage?
Zacks Trade is registered at 10 S. Riverside Plaza, Suite 1600 Chicago, IL 60606 and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Stocks, ETFs, options, mutual funds, corporate bonds, government bonds) rather than a domestic focus licence. Its 0 recorded licences (none on file) should be evaluated for cross-border passporting and local solicitation rules.
What is Zacks Trade's institutional risk classification, enforcement exposure, and score profile?
Zacks Trade carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 1.5, risk & licensing: 1.5, brand: 1.5, market influence: 1.5, 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 Zacks Trade's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Zacks 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 the supervising authority.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Zacks Trade's supervisory scope.
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Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
Corporate & Municipal Bond ETFs
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: Modified Duration, DV01 & +/-100 bps Parallel Yield Shock Table (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing second-order Taylor
Corporate & Municipal Bond ETFs
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: CPI-U Index Ratio Accretion & Real Purchasing-Power Attribution (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing 3-month Reference CP
etf-and-yield
Spot BTC & ETH ETF Authorized Participant Flows and DeFi Lending Yields After the $6.3B Exchange Breach
Evaluating how institutional allocators rotated between spot BTC/ETH ETFs and on-chain lending pools as the $6.3 billion Binance attacker swapped freezable stablecoins on Aave.