CRD #36418 · FINRA BrokerCheck + SEC IAPD

Interactive Brokers LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Interactive Brokers LLC ranks #38 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #1 of 111 on the same disclosure sort used on the state browse page. Interactive Brokers LLC carries 118 BrokerCheck disclosures across 17 branch offices - heavy load for a regional firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
17
branch offices
118
disclosures
#38 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36418 Interactive Brokers LLC

Interactive Brokers LLC · Grade F · 118 disc · 6.94/office · Regional firm

  • CRD 36418
  • GRADE F
  • DISC 118
  • REG 92
  • ARB 26
  • CIV 0
  • BRANCH 17
  • PER-OFF 6.94
  • RANK #38 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Instinet, LLC (7.36 disc/office)

Instinet, LLC7.36Pershing LLC5.89Barclays Capital Inc.8.63Interactive Brokers… (this)6.94
Disclosures per office among regional firm peers (lower is cleaner)

Interactive Brokers LLC ranks #38 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.94 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

17 offices

FINRA: Medium firm

Total disclosures

118 events

On FINRA BrokerCheck

Regulatory events

92 actions

78% of all disclosures

Disclosures per office

6.94 per office

118 ÷ 17 offices

Disclosure Intensity

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

Interactive Brokers 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 92
Arbitrations 26
Civil Events 0
Total 118

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

Disclosure category share

Regulatory 92 Arbitration 26 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Greenwich, CT
CRD Number
36418

Regulator-heavy mix

Interactive Brokers LLC in the heavier-disclosure third

Interactive Brokers LLC carries 118 BrokerCheck disclosures across 17 branch offices - a heavier-third raw book among graded firms (#38 of 20,055). Regulator-initiated events are 78% of the book (92 regulatory / 26 arbitration / 0 civil).

78% of Interactive Brokers LLC's 118 disclosures are regulator-initiated (92 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Connecticut cohort · 33× state average

Interactive Brokers LLC sits above the Connecticut disclosure average

Interactive Brokers LLC reports 118 BrokerCheck disclosures, 33× the Connecticut average of 3.5 across 111 graded firms with a principal-office state on file.

In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Interactive Brokers LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Interactive Brokers LLC ranks #38 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #1 of 111 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 Interactive Brokers LLC?
A grade of F reflects Interactive Brokers LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 118 total disclosures across 17 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Interactive Brokers LLC have?
Interactive Brokers LLC has 118 total FINRA disclosures, including 92 regulatory events, 26 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Interactive Brokers LLC?
Interactive Brokers LLC operates 17 branch offices and is classified by FINRA as a medium firm, registered in CT (Regional 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 Interactive Brokers LLC's disciplinary record?
You can verify Interactive Brokers LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36418. 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). Interactive Brokers LLC's 118 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Interactive Brokers 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. Interactive Brokers LLC carries 118 disclosures across 17 branch offices (about 6.94 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 Interactive Brokers LLC, both outside CT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Instinet, LLC (NY) - 7.36 disclosures/office, nearest regional firm peer to Interactive Brokers LLC's 6.94
  • Pershing LLC (NJ) - 5.89 disclosures/office, nearest regional firm peer to Interactive Brokers LLC's 6.94
  • Barclays Capital Inc. (NY) - 8.63 disclosures/office, nearest regional firm peer to Interactive Brokers LLC's 6.94
  • Firms in CT - state roster that includes Interactive Brokers LLC's registration home.
  • Red Flags in Advisor Records - How to read Interactive Brokers LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 118 disclosures behind Interactive Brokers LLC's Grade F.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Interactive Brokers LLC.
  • Compare firms - put Interactive Brokers 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.