Our commitment

TradeStation has long maintained a structured and robust governance process with a commitment to high ethical standards, disciplined risk management, strong internal controls, and accurate financial reporting that complies in all material respects with laws, rules and regulations applicable to us. Our Board of Directors is a mix of experienced and accomplished individuals who provide advice, insight, guidance, and oversight.

Our senior Management Team includes the President and Chief Executive Officer (CEO) and other senior executives responsible for finance, strategy, product development, human resources, marketing, legal, compliance, technology, brokerage operations, and education. The senior team develops the strategic plan, oversees its execution, implements risk and supervisory controls, and works to ensure a positive work environment for all employees.

Our strategy is led by the head of Human Resources and the Chief Risk Officer, with assistance from a third party. The TradeStation Securities Risk Management Group and the Board review key ESG information every quarter. The Board views these factors, such as key aspects of culture and engagement, as an insightful part of business analysis, a way to create value for our stakeholders, and a lens to help improve business resiliency. 

Our areas of focus include Workplace, Community, and the Environment, and our commitment harmonizes well with the high value we place on our customer service and safeguarding of customer privacy and personal data. 

"Our ESG program is one of the lenses through which we can view our culture where we strive for continuous improvement and purposeful innovation. It is important to our employees." 

John Bartleman | President & CEO, TradeStation Group

We work hard to earn our customers’ trust, and our commitment to uphold high ethical and risk management standards and responsibilities permits us to build and maintain this trust. Our Ethics and Compliance Code of Conduct guides our ethical business practices and sets the tone for how our employees, officers, and directors should behave.

“We are driven by the belief that upholding our responsibilities and high ethical standards are not optional. It is the only way to succeed in business and, more important, the only basis on which TradeStation wants to succeed. Our deep commitment to ethical operations and legal compliance shapes our interaction with customers and employees. We seek to build our operations around decency, integrity, honesty, and respect.”

Steve Patten | Chief Risk Officer, TradeStation Group

Protecting our customers' personally identifiable information, data, and assets is a top priority for TradeStation. We apply a disciplined, risk-based approach leveraging leading industry standards and best practices to protect our most critical assets and sensitive data. We have multiple levels of administrative and technical controls to help us stay ahead of existing and evolving threats. 

We also follow a detailed internal privacy program that is modeled after the strictest standards, including the European Union's General Data Protection Regulation (GDPR) and the California Consumer Privacy Act (CCPA). The policy includes topics such as notice requirements, incident response readiness, data retention and processing, data impact assessments, and overall handling of personal identifiable information by employees and independent contractors. Regular privacy-related training is required. 

We also have controls, policies and standards based on International Standards Organization and National Institute of Standards and Technology (NIST), including formal adoption of the NIST Cybersecurity Framework (NIST CSF). 

TradeStation employees work together in a high-performance culture with the goal of providing our customers with exceptional products and services. Creating an intimate customer connection is vital in helping drive our business forward and helping our customers enjoy the ultimate trading experience.

We therefore focus on enhancing and building our products and services for the customer, with the customer. In addition, through our multi-modality approach to investment education content, we are committed to creating a learning ecosystem for traders and investors to learn, interact and share with each other. Our goal is to deliver the ultimate trading experience to customers who are striving to master their skills and be better traders.

As our customer base continues to evolve, we maintain open lines of communication with them in a variety of formats, affording them the opportunity to provide feedback on our products and services. Feedback is a critical aspect of how we as a business adapt and grow to ever-changing customer demands, as well as to enhance customer satisfaction. For this reason, in 2022 we implemented the measurement of customer satisfaction through the Net Promoter Score (NPS), which is used along with additional channels through which we allow customers to provide feedback.