CRD #29106 · FINRA BrokerCheck + SEC IAPD

E*Trade Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, E*Trade Securities LLC ranks #22 of 20,055 by disclosure count (most disclosures first). E*Trade Securities LLC carries 232 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
232
disclosures
#22 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 29106 E*Trade Securities LLC

E*Trade Securities LLC · Grade F · 232 disc · 232.00/office · Single-office firm

  • CRD 29106
  • GRADE F
  • DISC 232
  • REG 93
  • ARB 139
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #22 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: TD Ameritrade, Inc. (231.00 disc/office)

TD Ameritrade, Inc.231.00Ameriprise Advisor Serv…223.00Morgan Keegan & Company…268.00E*Trade Securities LLC (this)232.00
Disclosures per office among single-office firm peers (lower is cleaner)

E*Trade Securities LLC ranks #22 of 20,055 by disclosure count among graded broker-dealers; heavy load at 232.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

232 events

On FINRA BrokerCheck

Regulatory events

93 actions

40% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 93
Arbitrations 139
Civil Events 0
Total 232

Counts for E*Trade Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 93 Arbitration 139 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
29106

Heavy disclosure book

E*Trade Securities LLC in the heavier-disclosure third

E*Trade Securities LLC carries 232 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#22 of 20,055). Mix is 93 regulatory, 139 arbitration, and 0 civil (40% regulator share).

E*Trade Securities LLC ranks #22 of 20,055 by BrokerCheck disclosure count among graded firms (232 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of E*Trade Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does E*Trade Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, E*Trade Securities LLC ranks #22 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for E*Trade Securities LLC?
A grade of F reflects E*Trade Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 232 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does E*Trade Securities LLC have?
E*Trade Securities LLC has 232 total FINRA disclosures, including 93 regulatory events, 139 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is E*Trade Securities LLC?
E*Trade Securities LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify E*Trade Securities LLC's disciplinary record?
You can verify E*Trade Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 29106. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). E*Trade Securities LLC's 232 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid E*Trade Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. E*Trade Securities LLC carries 232 disclosures across 0 branch offices (about 232.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.