Branch offices
3 offices
FINRA: Small firm
CRD #104162 · FINRA BrokerCheck + SEC IAPD
FIS Brokerage & Securities Services LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, FIS Brokerage & Securities Services LLC ranks #254 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #11 of 200 on the same disclosure sort used on the state browse page. FIS Brokerage & Securities Services LLC carries 23 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 3
- branch offices
- 23
- disclosures
- #254 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 104162 FIS Brokerage & Securities Services LLC
FIS Brokerage & Securities Services LLC · Grade D · 23 disc · 7.67/office · Small firm
- CRD 104162
- GRADE D
- DISC 23
- REG 23
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 7.67
- RANK #254 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Coda Markets, Inc. (7.50 disc/office)
FIS Brokerage & Securities Services LLC ranks #254 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.67 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
23 events
On FINRA BrokerCheck
Regulatory events
23 actions
100% of all disclosures
Disclosures per office
7.67 per office
23 ÷ 3 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
FIS Brokerage & Securities Services LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 23 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 23 |
Counts for FIS Brokerage & Securities Services LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 23 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Bolingbrook, IL
- CRD Number
- 104162
Regulator-heavy mix
FIS Brokerage & Securities Services LLC in the heavier-disclosure third
FIS Brokerage & Securities Services LLC carries 23 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#254 of 20,055). Regulator-initiated events are 100% of the book (23 regulatory / 0 arbitration / 0 civil).
100% of FIS Brokerage & Securities Services LLC's 23 disclosures are regulator-initiated (23 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of FIS Brokerage & Securities Services LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Illinois cohort · 4.52× state average
FIS Brokerage & Securities Services LLC sits above the Illinois disclosure average
FIS Brokerage & Securities Services LLC reports 23 BrokerCheck disclosures, 4.52× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.
In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does FIS Brokerage & Securities Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, FIS Brokerage & Securities Services LLC ranks #254 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #11 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for FIS Brokerage & Securities Services LLC?
A grade of D reflects FIS Brokerage & Securities Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 23 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does FIS Brokerage & Securities Services LLC have?
FIS Brokerage & Securities Services LLC has 23 total FINRA disclosures, including 23 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is FIS Brokerage & Securities Services LLC?
FIS Brokerage & Securities Services LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in IL (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify FIS Brokerage & Securities Services LLC's disciplinary record?
You can verify FIS Brokerage & Securities Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104162. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). FIS Brokerage & Securities Services LLC's 23 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid FIS Brokerage & Securities Services LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. FIS Brokerage & Securities Services LLC carries 23 disclosures across 3 branch offices (about 7.67 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for FIS Brokerage & Securities Services LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (23 here).
Read with this firm
- Coda Markets, Inc. (IL) - 7.50 disclosures/office, nearest small firm peer to FIS Brokerage & Securities Services LLC's 7.67
- Dawson James Securities, Inc. (FL) - 8.00 disclosures/office, nearest small firm peer to FIS Brokerage & Securities Services LLC's 7.67
- H.C.WAINWRIGHT & Co., LLC (NY) - 8.00 disclosures/office, nearest small firm peer to FIS Brokerage & Securities Services LLC's 7.67
- Firms in IL - state roster that includes FIS Brokerage & Securities Services LLC's registration home.
- Red Flags in Advisor Records - How to read FIS Brokerage & Securities Services LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 23 disclosures behind FIS Brokerage & Securities Services LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as FIS Brokerage & Securities Services LLC.
- Compare firms - put FIS Brokerage & Securities Services LLC next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.