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Regulator

Securities and Exchange Commission

The US securities markets regulator, focused on disclosure and investor protection.

Tier 1 · Top-tier regulatorUnited StatesOfficial site

What this licence protects

  • Registration and disclosure requirements for securities
  • Anti-fraud and market-abuse enforcement
  • Custody and safeguarding rules for client assets
  • Brokerage accounts backed by SIPC coverage

Check a licence yourself

  1. Open the official SEC register.
  2. Search by the licence number shown next to each broker below, or by the firm's legal name.
  3. Confirm the entry is active and covers the service you are about to use.
Open the SEC register ↗

26 brokers licensed by SEC

17 of 24 licence numbers on this page checked against the official register.

TradeStation

US Futures·SEC
7.6/10
No ratings yetRegulated
SEC 8-48711· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

Charles Schwab

US Stocks·SEC
7.4/10
No ratings yetRegulated
SEC 8-16514· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

E*TRADE

US Stocks·SEC
7.3/10
No ratings yetRegulated
SEC 8-68191· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

Fidelity

US Stocks·SEC
7.3/10
No ratings yetRegulated
SEC 8-23292· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

Interactive Brokers

US Stocks·SEC
7.2/10
No ratings yetRegulated
SEC 8-47257· register checked Jul 2026
PROPRIETARY · WEB · MOBILE·min $0

Vanguard

US Stocks·SEC
7.2/10
No ratings yetRegulated
SEC 8-21570· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

Ally Invest

US Stocks·SEC
7.0/10
No ratings yetRegulated
SEC 8-66982· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Firstrade

US Stocks·SEC
7.0/10
No ratings yet
WEB · MOBILE · PROPRIETARY

Lightspeed

US Stocks·SEC
7.0/10
No ratings yetRegulated
SEC 8-52843· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Acorns

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-69294· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Betterment

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-51906· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Cobra Trading

US Stocks·SEC
6.9/10
No ratings yet
WEB · MOBILE · PROPRIETARY

M1 Finance

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-69670· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Merrill Edge

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-7221· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

Robinhood

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-69188· register checked Jul 2026
MOBILE · WEB

Stash

US Stocks·SEC
6.9/10
No ratings yet
WEB · MOBILE · PROPRIETARY

Tradier

US Stocks·SEC
6.9/10
No ratings yet
WEB · MOBILE · PROPRIETARY

Wealthfront

US Stocks·SEC
6.9/10
No ratings yetRegulated
SEC 8-68534· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

Public.com

US Stocks·SEC
6.7/10
No ratings yetRegulated
SEC 8-66049· register checked Jul 2026
WEB · MOBILE · PROPRIETARY

moomoo

US Stocks·SEC
6.7/10
No ratings yetRegulated
SEC 8-69739· register checked Jul 2026
MOBILE · WEB · PROPRIETARY

tastytrade

US Stocks·SEC
6.7/10
No ratings yetRegulated
SEC 8-69649· register checked Jul 2026
PROPRIETARY · WEB · MOBILE

SoFi Invest

US Stocks·SEC
6.6/10
No ratings yet
MOBILE · WEB