Regulatory Information

Compliance and regulatory oversight information

Regulatory Registration

SEC Registration

  • Firm Name: ZenTrading, LLC
  • SEC CRD Number: 123456
  • SEC File Number: 801-123456
  • Registration Date: January 15, 2020
  • Business Address: 123 Financial District, New York, NY 10004

ZenTrading, LLC is registered as an investment adviser with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. This registration does not imply a certain level of skill or training.

Regulatory Oversight

Securities and Exchange Commission (SEC)

As an SEC-registered investment adviser, we are subject to regular examinations and oversight by the SEC. We file required reports and disclosures, including Form ADV updates.

FINRA BrokerCheck

While ZenTrading is not a broker-dealer, you can research our key personnel through FINRA's BrokerCheck system to verify their backgrounds and qualifications.

State Registrations

We are authorized to provide investment advisory services in all 50 states and the District of Columbia, subject to applicable state notice filing requirements.

Custodial Arrangements

Client assets are held with qualified custodians that provide additional layers of protection:

  • Primary Custodian: Apex Clearing Corporation
  • SIPC Protection: Up to $500,000 per account
  • Additional Insurance: Excess coverage through Lloyd's of London
  • Segregation: Client assets held separately from firm assets

ZenTrading does not have custody of client funds or securities, providing an additional layer of client protection.

Required Disclosures

Form ADV

Our Form ADV Part 2A (Firm Brochure) and 2B (Brochure Supplement) are available for download and contain detailed information about our services, fees, conflicts of interest, and key personnel.

IAPD Database

Current and historical regulatory information about ZenTrading is available through the SEC's Investment Adviser Public Disclosure (IAPD) database.