Branch offices
2 offices
FINRA: Small firm
CRD #19418 · FINRA BrokerCheck + SEC IAPD
Intesa Sanpaolo IMI Securities Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Intesa Sanpaolo IMI Securities Corp. ranks #570 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #66 of 868 on the same disclosure sort used on the state browse page. Intesa Sanpaolo IMI Securities Corp. carries 12 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 12
- disclosures
- #570 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 19418 Intesa Sanpaolo IMI Securities Corp.
Intesa Sanpaolo IMI Securities Corp. · Grade D · 12 disc · 6.00/office · Small firm
- CRD 19418
- GRADE D
- DISC 12
- REG 11
- ARB 0
- CIV 1
- BRANCH 2
- PER-OFF 6.00
- RANK #570 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: CTC, LLC (6.00 disc/office)
Intesa Sanpaolo IMI Securities Corp. ranks #570 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.00 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
12 events
On FINRA BrokerCheck
Regulatory events
11 actions
92% of all disclosures
Disclosures per office
6.00 per office
12 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Intesa Sanpaolo IMI Securities Corp. - 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 | 11 |
| Arbitrations | 0 |
| Civil Events | 1 |
| Total | 12 |
Counts for Intesa Sanpaolo IMI Securities Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 0 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 19418
Regulator-heavy mix
Intesa Sanpaolo IMI Securities Corp. in the heavier-disclosure third
Intesa Sanpaolo IMI Securities Corp. carries 12 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#570 of 20,055). Regulator-initiated events are 92% of the book (11 regulatory / 0 arbitration / 1 civil).
92% of Intesa Sanpaolo IMI Securities Corp.'s 12 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Intesa Sanpaolo IMI Securities Corp.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 1.37× state average
Intesa Sanpaolo IMI Securities Corp. sits above the New York disclosure average
Intesa Sanpaolo IMI Securities Corp. reports 12 BrokerCheck disclosures, 1.37× 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 Intesa Sanpaolo IMI Securities Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Intesa Sanpaolo IMI Securities Corp. ranks #570 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #66 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 D mean for Intesa Sanpaolo IMI Securities Corp.?
A grade of D reflects Intesa Sanpaolo IMI Securities Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 12 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Intesa Sanpaolo IMI Securities Corp. have?
Intesa Sanpaolo IMI Securities Corp. has 12 total FINRA disclosures, including 11 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Intesa Sanpaolo IMI Securities Corp.?
Intesa Sanpaolo IMI Securities Corp. operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (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 Intesa Sanpaolo IMI Securities Corp.'s disciplinary record?
You can verify Intesa Sanpaolo IMI Securities Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19418. 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). Intesa Sanpaolo IMI Securities Corp.'s 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Intesa Sanpaolo IMI Securities Corp. 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. Intesa Sanpaolo IMI Securities Corp. carries 12 disclosures across 2 branch offices (about 6.00 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 Intesa Sanpaolo IMI Securities Corp., both outside NY 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 (12 here).
Read with this firm
- CTC, LLC (IL) - 6.00 disclosures/office, nearest small firm peer to Intesa Sanpaolo IMI Securities Corp.'s 6.00
- First Georgetown Securities, Inc. (VA) - 6.00 disclosures/office, nearest small firm peer to Intesa Sanpaolo IMI Securities Corp.'s 6.00
- Hennion & Walsh, Inc. (NJ) - 6.00 disclosures/office, nearest small firm peer to Intesa Sanpaolo IMI Securities Corp.'s 6.00
- Firms in NY - state roster that includes Intesa Sanpaolo IMI Securities Corp.'s registration home.
- Red Flags in Advisor Records - How to read Intesa Sanpaolo IMI Securities Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 12 disclosures behind Intesa Sanpaolo IMI Securities Corp.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Intesa Sanpaolo IMI Securities Corp..
- Compare firms - put Intesa Sanpaolo IMI Securities Corp. 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.