CRD #28872 · FINRA BrokerCheck + SEC IAPD

ING Financial Markets LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ING Financial Markets LLC ranks #684 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #75 of 868 on the same disclosure sort used on the state browse page. ING Financial Markets LLC carries 10 BrokerCheck disclosures across 28 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
28
branch offices
10
disclosures
#684 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 28872 ING Financial Markets LLC

ING Financial Markets LLC · Grade C · 10 disc · 0.36/office · Mid-sized firm

  • CRD 28872
  • GRADE C
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 28
  • PER-OFF 0.36
  • RANK #684 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: R. F. Lafferty & Co., Inc. (0.35 disc/office)

R. F. Lafferty & Co., Inc.0.35Sanctuary Securities, Inc.0.34B. Riley Wealth Management0.32ING Financial Marke… (this)0.36
Disclosures per office among mid-sized firm peers (lower is cleaner)

ING Financial Markets LLC ranks #684 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.36 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

28 offices

FINRA: Medium firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

0.36 per office

10 ÷ 28 offices

ING Financial Markets LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 66% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 0
Civil Events 0
Total 10

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

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10036
Formed
11/06/1995
State of Formation
Delaware
CRD Number
28872
SEC Number
43978

Regulator-heavy mix

ING Financial Markets LLC in the heavier-disclosure third

ING Financial Markets LLC carries 10 BrokerCheck disclosures across 28 branch offices - a heavier-third raw book among graded firms (#684 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of ING Financial Markets LLC's 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.14× state average

ING Financial Markets LLC sits above the New York disclosure average

ING Financial Markets LLC reports 10 BrokerCheck disclosures, 1.14× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does ING Financial Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ING Financial Markets LLC ranks #684 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #75 of 868 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 C mean for ING Financial Markets LLC?
A grade of C reflects ING Financial Markets LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 10 total disclosures across 28 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does ING Financial Markets LLC have?
ING Financial Markets LLC has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is ING Financial Markets LLC?
ING Financial Markets LLC operates 28 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized 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 ING Financial Markets LLC's disciplinary record?
You can verify ING Financial Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 28872. 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). ING Financial Markets LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid ING Financial Markets 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. ING Financial Markets LLC carries 10 disclosures across 28 branch offices (about 0.36 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 ING Financial Markets LLC, both outside NY 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.