CRD #29275 · FINRA BrokerCheck + SEC IAPD

PTI Securities & Futures L. P.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, PTI Securities & Futures L. P. ranks #1,521 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #53 of 200 on the same disclosure sort used on the state browse page. PTI Securities & Futures L. P. carries 5 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
2
branch offices
5
disclosures
#1,521 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 29275 PTI Securities & Futures L. P.

PTI Securities & Futures L. P. · Grade C · 5 disc · 2.50/office · Small firm

  • CRD 29275
  • GRADE C
  • DISC 5
  • REG 4
  • ARB 1
  • CIV 0
  • BRANCH 2
  • PER-OFF 2.50
  • RANK #1,521 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Carnes Capital Corporation (2.50 disc/office)

Carnes Capital Corporation2.50C&C Trading L.L.C.2.50Credicorp Capital LLC2.50PTI Securities & Fu… (this)2.50
Disclosures per office among small firm peers (lower is cleaner)

PTI Securities & Futures L. P. ranks #1,521 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

2 offices

FINRA: Small firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

4 actions

80% of all disclosures

Disclosures per office

2.50 per office

5 ÷ 2 offices

PTI Securities & Futures L. P. 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 7% 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%). This entry sits in this band. 3–3: 6 disclosing firms (0%). Above this entry. 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 4
Arbitrations 1
Civil Events 0
Total 5

Counts for PTI Securities & Futures L. P. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Chicago, IL, 60607
Formed
12/11/1991
State of Formation
Illinois
CRD Number
29275
SEC Number
44412

Elevated disclosures per office

PTI Securities & Futures L. P. in the heavier-disclosure third

PTI Securities & Futures L. P. carries 5 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,521 of 20,055). Regulator-initiated events are 80% of the book (4 regulatory / 1 arbitration / 0 civil).

PTI Securities & Futures L. P. runs 2.50 disclosures per branch office (cleaner than only 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of PTI Securities & Futures L. P.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 0.98× state average

PTI Securities & Futures L. P. tracks near the Illinois disclosure average

PTI Securities & Futures L. P. reports 5 BrokerCheck disclosures, about 0.98× the Illinois average of 5.1 across 200 graded firms.

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 PTI Securities & Futures L. P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, PTI Securities & Futures L. P. ranks #1,521 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #53 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 C mean for PTI Securities & Futures L. P.?
A grade of C reflects PTI Securities & Futures L. P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 5 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does PTI Securities & Futures L. P. have?
PTI Securities & Futures L. P. has 5 total FINRA disclosures, including 4 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is PTI Securities & Futures L. P.?
PTI Securities & Futures L. P. operates 2 branch offices and is classified by FINRA as a small 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 PTI Securities & Futures L. P.'s disciplinary record?
You can verify PTI Securities & Futures L. P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 29275. 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). PTI Securities & Futures L. P.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid PTI Securities & Futures L. P. 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. PTI Securities & Futures L. P. carries 5 disclosures across 2 branch offices (about 2.50 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 PTI Securities & Futures L. P., both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Carnes Capital Corporation (FL) - 2.50 disclosures/office, nearest small firm peer to PTI Securities & Futures L. P.'s 2.50
  • C&C Trading L.L.C. (CT) - 2.50 disclosures/office, nearest small firm peer to PTI Securities & Futures L. P.'s 2.50
  • Credicorp Capital LLC (FL) - 2.50 disclosures/office, nearest small firm peer to PTI Securities & Futures L. P.'s 2.50
  • Firms in IL - state roster that includes PTI Securities & Futures L. P.'s registration home.
  • Red Flags in Advisor Records - How to read PTI Securities & Futures L. P.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 5 disclosures behind PTI Securities & Futures L. P.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as PTI Securities & Futures L. P..
  • Compare firms - put PTI Securities & Futures L. P. 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.