CRD #104143 · FINRA BrokerCheck + SEC IAPD

IMC Financial Markets

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, IMC Financial Markets ranks #130 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #5 of 200 on the same disclosure sort used on the state browse page. IMC Financial Markets carries 40 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
2
branch offices
40
disclosures
#130 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 104143 IMC Financial Markets

IMC Financial Markets · Grade F · 40 disc · 20.00/office · Small firm

  • CRD 104143
  • GRADE F
  • DISC 40
  • REG 40
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 20.00
  • RANK #130 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Susquehanna Securities, LLC (20.00 disc/office)

Susquehanna Securities,…20.00Ibkr Securities Service…21.00Wolverine Trading, LLC21.00IMC Financial Markets (this)20.00
Disclosures per office among small firm peers (lower is cleaner)

IMC Financial Markets ranks #130 of 20,055 by disclosure count among graded broker-dealers; heavy load at 20.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

Branch offices

2 offices

FINRA: Large firm

Total disclosures

40 events

On FINRA BrokerCheck

Regulatory events

40 actions

100% of all disclosures

Disclosures per office

20.00 per office

40 ÷ 2 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

IMC Financial Markets - 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 40
Arbitrations 0
Civil Events 0
Total 40

Counts for IMC Financial Markets reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 40 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Chicago, IL
CRD Number
104143

Regulator-heavy mix

IMC Financial Markets in the heavier-disclosure third

IMC Financial Markets carries 40 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#130 of 20,055). Regulator-initiated events are 100% of the book (40 regulatory / 0 arbitration / 0 civil).

100% of IMC Financial Markets's 40 disclosures are regulator-initiated (40 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of IMC Financial Markets's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 7.86× state average

IMC Financial Markets sits above the Illinois disclosure average

IMC Financial Markets reports 40 BrokerCheck disclosures, 7.86× 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 IMC Financial Markets sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, IMC Financial Markets ranks #130 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #5 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 F mean for IMC Financial Markets?
A grade of F reflects IMC Financial Markets's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 40 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does IMC Financial Markets have?
IMC Financial Markets has 40 total FINRA disclosures, including 40 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is IMC Financial Markets?
IMC Financial Markets operates 2 branch offices and is classified by FINRA as a large 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 IMC Financial Markets's disciplinary record?
You can verify IMC Financial Markets's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104143. 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). IMC Financial Markets's 40 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid IMC Financial Markets 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. IMC Financial Markets carries 40 disclosures across 2 branch offices (about 20.00 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 IMC Financial Markets, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.