Branch offices
7 offices
FINRA: Small firm
CRD #11707 · FINRA BrokerCheck + SEC IAPD
Natwest Markets Securities Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Natwest Markets Securities Inc. ranks #109 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #2 of 111 on the same disclosure sort used on the state browse page. 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
- #109 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 11707 Natwest Markets Securities Inc.
Natwest Markets Securities Inc. · Grade D · 47 disc · 6.71/office · Small firm
- CRD 11707
- GRADE D
- DISC 47
- REG 43
- ARB 0
- CIV 4
- BRANCH 7
- PER-OFF 6.71
- RANK #109 of 20,055
- BOOK Small firm
Nearest same-size peer: Lakeshore Securities, L.P. (6.50 disc/office)
Natwest Markets Securities Inc. ranks #109 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.71 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
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 for Natwest Markets Securities Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 43 Arbitration 0 Civil 4
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Stamford, CT
- CRD Number
- 11707
Regulator-heavy mix
Natwest Markets Securities Inc. in the heavier-disclosure third
Natwest Markets Securities Inc. carries 47 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#109 of 20,055). Regulator-initiated events are 91% of the book (43 regulatory / 0 arbitration / 4 civil).
91% of Natwest Markets Securities Inc.'s 47 disclosures are regulator-initiated (43 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Natwest Markets Securities Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Connecticut cohort · 13× state average
Natwest Markets Securities Inc. sits above the Connecticut disclosure average
Natwest Markets Securities Inc. reports 47 BrokerCheck disclosures, 13× 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 Natwest Markets Securities Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Natwest Markets Securities Inc. ranks #109 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #2 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 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 (regulatory, arbitration, or civil). Natwest Markets Securities Inc.'s 47 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Natwest Markets Securities Inc., both outside CT 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 (47 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (7 here).
Read with this firm
- Lakeshore Securities, L.P. (IL) - 6.50 disclosures/office, nearest small firm peer to Natwest Markets Securities Inc.'s 6.71
- Securian Financial Services, Inc. (MN) - 6.50 disclosures/office, nearest small firm peer to Natwest Markets Securities Inc.'s 6.71
- Allen & Company LLC (NY) - 7.00 disclosures/office, nearest small firm peer to Natwest Markets Securities Inc.'s 6.71
- Firms in CT - state roster that includes Natwest Markets Securities Inc.'s registration home.
- Red Flags in Advisor Records - How to read Natwest Markets Securities Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 47 disclosures behind Natwest Markets Securities Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Natwest Markets Securities Inc..
- Compare firms - put Natwest Markets Securities Inc. 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.