CRD #128030 · FINRA BrokerCheck + SEC IAPD

Optiver US LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Optiver US LLC ranks #633 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #27 of 200 on the same disclosure sort used on the state browse page. Optiver US LLC carries 11 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
4
branch offices
11
disclosures
#633 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 128030 Optiver US LLC

Optiver US LLC · Grade D · 11 disc · 2.75/office · Small firm

  • CRD 128030
  • GRADE D
  • DISC 11
  • REG 10
  • ARB 0
  • CIV 1
  • BRANCH 4
  • PER-OFF 2.75
  • RANK #633 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Intercoastal Capital Markets, Inc. (2.75 disc/office)

Intercoastal Capital Ma…2.75Baron Capital, Inc.2.67Boston Partners Securit…2.67Optiver US LLC (this)2.75
Disclosures per office among small firm peers (lower is cleaner)

Optiver US LLC ranks #633 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.75 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

Branch offices

4 offices

FINRA: Medium firm

Total disclosures

11 events

On FINRA BrokerCheck

Regulatory events

10 actions

91% of all disclosures

Disclosures per office

2.75 per office

11 ÷ 4 offices

Optiver US LLC vs. every disclosing firm

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

3 a cleaner per-office record than 6% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). This entry sits in this band. 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 1
Total 11

Counts for Optiver US 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 1

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL, 60601
Formed
08/05/2003
State of Formation
Illinois
CRD Number
128030
SEC Number
66083

Elevated disclosures per office

Optiver US LLC in the heavier-disclosure third

Optiver US LLC carries 11 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#633 of 20,055). Regulator-initiated events are 91% of the book (10 regulatory / 0 arbitration / 1 civil).

Optiver US LLC runs 2.75 disclosures per branch office (cleaner than only 94% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Illinois cohort · 2.16× state average

Optiver US LLC sits above the Illinois disclosure average

Optiver US LLC reports 11 BrokerCheck disclosures, 2.16× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Optiver US LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Optiver US LLC ranks #633 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #27 of 200 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 Optiver US LLC?
A grade of D reflects Optiver US LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Optiver US LLC have?
Optiver US LLC has 11 total FINRA disclosures, including 10 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Optiver US LLC?
Optiver US LLC operates 4 branch offices and is classified by FINRA as a medium firm, registered in IL (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 Optiver US LLC's disciplinary record?
You can verify Optiver US LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 128030. 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). Optiver US LLC's 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Optiver US 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. Optiver US LLC carries 11 disclosures across 4 branch offices (about 2.75 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 Optiver US LLC, both outside IL 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.