Branch offices
7 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #11707 · FINRA BrokerCheck + SEC IAPD
Natwest Markets Securities Inc.
Natwest Markets Securities Inc. carries 47 BrokerCheck disclosures across 7 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 7
- branch offices
- 47
- disclosures
- 6.71
- per office
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.
Total disclosures
47 events
On FINRA BrokerCheck
Regulatory events
43 actions
91% of all disclosures
Disclosures per office
6.71 per office
47 ÷ 7 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Natwest Markets Securities Inc. - 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 | 43 |
| Arbitrations | 0 |
| Civil Events | 4 |
| Total | 47 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 43 Arbitration 0 Civil 4
Disclosure Profile
Natwest Markets Securities Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
6.71
Heavy load
Regulatory share
91%
of total disclosures
Size class
Small firm
7 branches
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Stamford, CT
- CRD Number
- 11707
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Natwest Markets Securities Inc.
Natwest Markets Securities Inc. (broker-dealer, CRD# 11707 · Stamford, CT) operates 7 branch offices - a small firm (FINRA: small), scope ACTIVE.
BrokerCheck shows 47 disclosures as of July 2026 (about 6.71 per branch office): 43 regulatory, 0 arbitration, 4 civil. Letter grade D (2/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of D mean for Natwest Markets Securities Inc.?
A grade of D reflects Natwest Markets Securities Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 47 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Natwest Markets Securities Inc. have?
Natwest Markets Securities Inc. has 47 total FINRA disclosures, including 43 regulatory events, 4 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Natwest Markets Securities Inc.?
Natwest Markets Securities Inc. operates 7 branch offices and is classified by FINRA as a small firm, registered in CT (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 Natwest Markets Securities Inc.'s disciplinary record?
You can verify Natwest Markets Securities Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 11707. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Natwest Markets Securities Inc. 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. Natwest Markets Securities Inc. carries 47 disclosures across 7 branch offices (about 6.71 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.