E*TRADE Securities LLC
Revision as of 08:14, 27 July 2016 by JeffBergstrom (talk | contribs) (Text replace - "transaction" to "transaction")
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| E*TRADE Securities LLC | |
| Founded | 1992 |
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| Headquarters | Menlo Park, CA |
| Key People | Louis Klobuchar Jr, President |
| Products | Registered Broker-Dealer |
E*TRADE Securities LLC is a registered broker-dealer providing brokerage services and security-underwriting. [1] It is a separate, but affiliate company to E*Trade Financial, as is E*Trade Bank.
History[edit]
In January of 2009, the Financial Industry Regulatory Authority (FINRA) announced that it had imposed a $1 million fine against E*Trade Securities, LLC and E*Trade Clearing, LLC, collectively, for failing to establish and implement anti-money laundering (AML) policies and procedures that could reasonably be expected to detect and cause the reporting of suspicious securities transactions. [2]
Products and Services[edit]
Key People[edit]
Louis Klobuchar Jr., President and Chief Brokerage Officer