Institution record
Robinhood
Robinhood Markets, Inc.
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (banks and deposit-taking institutions) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
OAMTier-3 Organismo Agenti e Mediatori | PSV153 | Regulated | ROBINHOOD EUROPE, UAB | 11/03/2024 | |
FINRATier-1 Financial Industry Regulatory Authority | 165998 | Regulated | ROBINHOOD MARKETS, INC | 2012-8-24 | |
SECTier-1 U.S. Securities and Exchange Commission | 1702840 | Regulated | Robinhood Crypto, LLC | — | |
SECTier-1 U.S. Securities and Exchange Commission | 1990968 | Regulated | Robinhood Money, LLC | — | |
SIPCTier-1 Securities Investor Protection Corporation (U.S.) | Number pending check | Regulated | Robinhood | — | |
NFATier-2 National Futures Association | 0424278 | Regulated | ROBINHOOD DERIVATIVES LLC | — | |
GovTier-2 Tax Administration Chamber in Katowice (Poland) | RDWW-1076 | Regulated | ROBINHOOD EUROPE, UAB | 18.12.2023 | |
NYSDFSTier-1 New York State Department of Financial Services | Number pending check | Regulated | Robinhood | 2020-10 | |
SECTier-1 U.S. Securities and Exchange Commission | 0001561014 | Regulated | Robinhood | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Robinhood against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Robinhood (this record) | OAMFINRASEC+6 | 9 / 9 | Risk level not supplied | — | 0 |
| JPMorgan Chase & Co | FDICSEC | 2 / 2 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Deutsche Bank AG | FRSECBPRA+1 | 4 / 4 | Risk level not supplied | — | 0 |
| American Express | FRSOCCFDIC | 3 / 3 | Risk level not supplied | — | 0 |
| BofA | FDICFRSOCC | 3 / 3 | Risk level not supplied | — | 0 |
Robinhood: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Robinhood's regulatory licence status and supervisory authorisation?
In our imported dataset, Robinhood (legal entity reference: Robinhood Markets, Inc.) holds 9 recorded licence entries, of which 9 carry a "regulated" status and 9 are marked regulated or registered: OAM (Organismo Agenti e Mediatori) — licence PSV153, status: regulated, Tier-3; FINRA (Financial Industry Regulatory Authority) — licence 165998, status: regulated, Tier-1; SEC (U.S. Securities and Exchange Commission) — licence 1702840, status: regulated, Tier-1; SEC (U.S. Securities and Exchange Commission) — licence 1990968, status: regulated, Tier-1; SIPC (Securities Investor Protection Corporation (U.S.)) — licence Number pending check, status: regulated, Tier-1; NFA (National Futures Association) — licence 0424278, status: regulated, Tier-2; Gov (Tax Administration Chamber in Katowice (Poland)) — licence RDWW-1076, status: regulated, Tier-2; NYSDFS (New York State Department of Financial Services) — licence Number pending check, status: regulated, Tier-1; SEC (U.S. Securities and Exchange Commission) — licence 0001561014, status: regulated, Tier-1. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official OAM, FINRA, SEC public register.
Which of Robinhood's jurisdictions and licences fall within this site's regulatory coverage?
Robinhood is registered at Robinhood, 85 Willow Road, Menlo Park, CA 94025. and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Cryptocurrencies, Stocks) rather than a domestic focus licence. Its 9 recorded licences (OAM, FINRA, SEC, SIPC, NFA, Gov, NYSDFS) should be evaluated for cross-border passporting and local solicitation rules.
What is Robinhood's institutional risk classification, enforcement exposure, and score profile?
Robinhood carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts. 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 Robinhood's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Robinhood, institutional and retail allocators should: (1) confirm the domain (robinhood.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to OAM.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Robinhood's supervisory scope.
Market Microstructure & Derivatives Taxonomy
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Statutory Definition, Regulatory Scope & Compliance Deadlines (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing exact rule citations, covere
Central Clearing & Repo Architecture
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Balance-Sheet Netting Mechanics & RWA Capital Weight Calculation (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing multilateral netting compres
ISDA & Counterparty Credit Lexicon
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Cross-Jurisdictional Comparison: US vs. EU CRR III vs. UK PRA (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing national divergences, gold-p
Prudential Regulation & Capital Standards
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Clearinghouse Default Waterfall & Margin Segregation Rules (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing omnibus versus legally segre