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MITCH CAPLAN E*TRADE FINANCIAL


Creating a Value-Conscious Consumer

A pioneer in online trading since 1983, E*TRADE FINANCIAL today manages $187 billion in 4.3 million accounts worldwide. Here CEO Mitch Caplan talks about the benefits of fearless customers and why the company wants to be seen as a rebel with a cause.


“Striving to be a champion for our customers, we have introduced many products that more traditional firms had never considered. And we have exported that vision on a global basis.”


How do E*TRADE’s offerings benefit the financial community?

We have significant interaction with the financial markets. Whether initiated by a customer, executed through our market maker or traded by our institutional equity desks, over 5 percent of all trades executed in the U.S. touch E*TRADE in one way or another. Beyond that, our global balance sheet interacts on multiple levels with the domestic and international markets, from investing our customers’ cash to generating their mortgage, HELOC and credit card balances.

For companies, in addition to the benefit of transactions in their stocks, we believe that the way we are able to leverage our technology, operations and service platforms attracts a broader range of investing consumers, many of whom are largely ignored by the more traditional providers.

And beyond the transactions, we benefit the entire market by paying close attention to educating the investing consumer, particularly those at the earlier stages of his or her investing life. Creating an educated, value-conscious consumer who is not afraid of the markets and has the confidence to make his or her own financial decisions can only help everyone whose stocks are in the public markets.

How do you see E*TRADE’s business positioned today from the perspective of retail investors?

E*TRADE today is focused on providing global retail investors with value-added investing, trading, banking and lending products and services, and leveraging that engagement with our retail customers in our institutional business. As E*TRADE has grown, we have focused on expanding our offerings both domestically and internationally, emphasizing sturdier revenue vehicles, such as net interest spread, as a way of lessening our dependence on often volatile customer trading activity.

How do changing market and economic forces impact E*TRADE’s growth and business development strategy?

Years of creating value-added diversified financial services for our customers—and understanding how they really function in the markets—have afforded us the experience and insight for successful positioning in a variety of economic environments.

When the markets are growing, we see increased trading activity and the benefits of increased trading commissions and market-making activities.

When the markets are contracting, we see investors move their money into our cash management products like bank deposits and CDs, which they see as good investment vehicles as opposed to simply a place to park while evaluating the markets.

Our continuing strategy is to develop robust and diverse financial products that will deliver value to our customers and deepen our customer relationships both domestically and internationally.

What significance does being part of E*TRADE’s world have in the eyes, hearts and minds of the investing public and of the Street?

From the company’s inception in 1982, E*TRADE’s vision has been to make the financial markets accessible to all investors.

Always striving to be a champion for our customers, we have introduced many products that more traditional firms had never considered offering, either because of constraints in their cost infrastructure or because it was not in their interest to do so. And we have taken that vision and exported it on a global basis. As the global retail investor has learned about our products and services over time, all of us have benefited from a stronger, more diverse and more vital business.

We hope our investors will always think of us as a bit of a rebel in the financial services industry, not afraid to challenge tradition in order to deliver more value to our customers. CT

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