Institution record
Thinkorswim
- Source score
- 5.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (decentralised trading protocols, nft marketplaces and web3 execution venues) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Industry Regulatory Authority | Not supplied | Regulated | Thinkorswim | — |
Peer source record comparison
Compare imported fields for Thinkorswim and other records in our decentralised trading protocols, nft marketplaces and web3 execution venues dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| Thinkorswim (this record) | FINRA | 1 / 1 | Risk level not supplied | 5.0 | 0 |
SECSecurities Investor Protection Corporation (U.S. SIPC)+6 | 9 / 9 | Risk level not supplied | 7.3 | 0 | |
FINRAGFSCFinancial Services Regulatory Authority, Abu Dhabi Global Market (ADGM FSRA)+5 | 6 / 8 | Risk level not supplied | 7.5 | 0 | |
KASFSCACNV+12 | 15 / 15 | Risk level not supplied | — | 0 | |
Central Bank of the UAEFMAFinancial Conduct Authority+3 | 6 / 6 | Risk level not supplied | 5.0 | 0 | |
MISASVG FSAVFSC+2 | 4 / 5 | Risk level not supplied | 5.0 | 0 |
Thinkorswim: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Thinkorswim's regulatory licence status and supervisory authorisation?
The imported dataset contains 1 licence entry associated with Thinkorswim (legal entity reference: Thinkorswim); 1 are labelled "regulated" and 1 are labelled regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence Not supplied, status: regulated. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official FINRA public register.
Which of Thinkorswim's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's decentralised trading protocols, nft marketplaces and web3 execution venues source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
What is Thinkorswim's institutional risk classification, enforcement exposure, and score profile?
Thinkorswim carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 5.0, brand: 5.0, market influence: 5.0, user reputation: 0.0). The imported source lists 0 exposure entries. 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 Thinkorswim's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Thinkorswim, institutional and retail allocators should: (1) confirm the domain (trade.thinkorswim.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.