Corporate Governance

TradeStation has long maintained a structured governance process and a commitment to high ethical standards, disciplined risk management, strong internal controls, and transparent financial reporting. Our seven-member Board of Directors is comprised of a mix of experienced, and accomplished directors who provide advice, insight, guidance, and oversight.

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

Ownership

TradeStation Group, Inc. is a wholly-owned subsidiary of Monex Group, Inc., one of Japan’s largest online financial services providers.

Board Memebership

Our seven-member Board come from a diversity of backgrounds, skills and experiences.

Management Team

Includes President/CEO and other senior leaders responsible for areas including finance, product development, marketing, technology, legal, compliance, operations, and education.

Our Sustainability & ESG program is consistent with our culture of continuous improvement and purposeful innovation. We are committed to growing our program and see these efforts as an important part of our business strategy and we are excited to become more transparent on these efforts over time.

John Bartleman
President, TradeStation Group

Sustainability & ESG Oversight

Sustainability & Environmental, Social, Governance (ESG) leadership starts with our CEO and Board of Directors overseeing our long-term approach and strategy. The Board views ESG as an insightful part of business analysis and a way to create value for our stakeholders and a lens to help improve business resiliency.

Our ESG Working Group is a cross-functional team of senior leaders including those from the data security, environment, human resources, legal, risk management, and strategy departments. Chaired by TradeStation Group’s Chief Strategic Officer, who is also a member of the Board of Directors and a board member of TradeStation Group’s operating subsidiaries, the Working Group helps define our ESG agenda and will work to introduce goals and relevant key performance indicators (KPIs) over time.

We welcome you to click through this site to read more about our efforts within our key ESG focus areas: Workplace (DEI, culture, employee attraction and retention), Community (broadening our community outreach) and Environment (being mindful of our footprint). This is underpinned by our customer service focus and safeguarding customer data.

Risk Management

We maintain a disciplined Enterprise Risk Management (ERM) program, which includes a formal ERM framework and key risk indicators (KRIs) to monitor risks. The Group Chief Risk Officer, who gives reports directly to the President and periodically to the Board of Directors, leads an Enterprise Risk Committee that oversees all risk aspects of the company and meets quarterly. In addition to the group level Committee, each core TradeStation subsidiary has its own board and risk governance structure and monitors more granular-level risks specific to these subsidiaries.

We work hard to earn our customers’ trust, and it is through our upholding the highest standards and responsibility that allows us to build and maintain this trust. Our Code of Business Conduct and Ethics guide our ethical business practices and set the tone for employee, officer and director behavior.

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 today. Our deep commitment to ethical operations and legal compliance shapes every interaction with our customers and employees. We build our operations around decency, integrity, and respect.

Steve Patten
Chief Risk Officer, TradeStation Group, Inc.


Cybersecurity and Data Privacy

Cybersecurity is a top consideration in our increasingly technology-dependent world, and our customers expect us to keep their information safe and secure, in order to also help ensure continuity in our operations. We apply a disciplined risk management approach based on leading industry standards and best practices, prioritizing our investments and resources to protect our most critical assets and sensitive data. We have multiple levels of cybersecurity tools and controls to help us stay ahead of threats including ongoing testing, identification and reporting. The Chief Information Security Officer (CISO) provides direct oversight of cybersecurity risk with quarterly reports to the Enterprise Risk Committee and Board of Directors.

Our key cybersecurity and data privacy security measures include:

  • Controls, Policies and Standards based on International Standards Organization and National Institute of Standards and Technology
  • Safeguards including firewalls, managed detection and response, behavior anomaly detection and incident management program
  • Information security team led by our experienced CISO and our dedicated Data Protection Officer
  • Regular third-party testing of our systems
  • Employees are required to complete compliance and information security and threat awareness training each year.

  • The Customer Connection

    TradeStation employees work together in a high-performance culture with the goal of providing our customers with exceptional products and services. We focus on continuous improvement and innovation of the products and services we provide our customers. In addition, through our investment education content and analytical tools, we aim to create an ecosystem for traders, investors and anyone looking to gain access to capital or cryptocurrency markets and strive for better. Our goal is to help everyone to claim their financial edge, no matter their background or prior experience.

    As our customer base continues to evolve, we have open lines of communication with them in a variety of formats. As we receive feedback, we have a process for evaluating and making needed changes in order to improve the customer experience.