State BrokerCheck inventory · July 2026

Illinois broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Illinois ranks #4 of 56 by registered-firm inventory (200) and #5 of 56 by aggregate disclosure load (1,018), then #10 of 33 on disclosures-per-firm and #23 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#4
of 56 by firm inventory
200
registered firms
1,018
disclosures on file
5.1
avg disclosures / firm

Illinois at a glance

According to FINRA BrokerCheck as of July 2026, Illinois ranks #4 of 56 by registered-firm inventory (200) and #5 of 56 by aggregate disclosure load (1,018), then #10 of 33 on disclosures-per-firm and #23 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#4 of 56
registered-firm inventory
#5 of 56
aggregate disclosure load
#10 of 33
disclosures per firm (≥10 firms)
#23 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where Illinois sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

Illinois vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

5 Among the lightest loads a lower disclosures-per-firm load than 70% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). Below this entry. 4–6: 8 floor-qualified states (24%). This entry sits in this band. 6–8: 1 floor-qualified states (3%). Above this entry. 8–10: 1 floor-qualified states (3%). Above this entry. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. Illinois 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. 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 · July 2026

Firm-size mix among 200 graded firms

FINRA BrokerCheck size classes in Illinois. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

200
Registered Firms
99
Clean Record (Grade A)
1,018
Total Disclosures
5.1
Avg Disclosures / Firm

Grade Distribution

How Illinois's 200 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (99)99 firmsB, low (63)63 firmsC, typical (18)18 firmsD, elevated (12)12 firmsF, heaviest (8)8 firms
Grade breakdown of 200 graded firms headquartered in Illinois

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 ABN Amro Clearing USA LLC Chicago 83 3 F
2 Dash Financial Technologies LLC Chicago 69 3 F
3 Wolverine Trading, LLC Chicago 63 3 F
4 Wolverine Execution Services, LLC Chicago 43 2 F
5 IMC Financial Markets Chicago 40 2 F
6 G1 Execution Services, LLC Chicago 35 3 D
7 Group ONE Trading LLC Chicago 33 3 D
8 X-Change Financial Access, LLC Chicago 33 2 F
9 William Blair Chicago 31 303 C
10 Belvedere Trading LLC Chicago 29 9 D
11 FIS Brokerage & Securities Services LLC Bolingbrook 23 3 D
12 Consolidated Trading LLC Chicago 22 1 F
13 Sumo Capital, LLC Chicago 22 2 D
14 Lasalle ST Securities, L.L.C. Elmhurst 19 118 B
15 Mesirow Financial, Inc. Chicago 19 41 C
16 CTC, LLC Chicago 18 3 F
17 Rothschild Investment LLC Chicago 17 6 C
18 Coda Markets, Inc. Wilmette 15 2 D
19 Jump Trading, LLC Chicago 15 6 D
20 Regal Securities, Inc. Glenview 15 11 B
21 Great Point Capital LLC Chicago 13 4 C
22 Lakeshore Securities, L.P. Chicago 13 2 D
23 B. C. Ziegler and Company Chicago 12 18 B
24 TJM Investments, LLC Chicago 12 7 B
25 Tradingblock Chicago 12 6 B
26 World Equity Group, Inc. Schaumburg 12 72 B
27 Optiver US LLC Chicago 11 4 D
28 Nuveen Securities, LLC Chicago 10 15 C
29 DRW Securities, L.L.C. Chicago 9 3 C
30 Gelber Securities, LLC Chicago 9 2 C
31 Matrix Executions, LLC Chicago 9 3 C
32 LBMZ Securities, Inc. Chicago 8 3 C
33 Loop Capital Markets LLC Chicago 8 26 C
34 Northern Trust Securities, Inc. Chicago 8 140 B
35 OLD Mission Capital, LLC Chicago 8 3 D
36 Performance Trust Capital Partners, LLC Chicago 8 51 B
37 Akuna Securities LLC Chicago 7 1 D
38 Corporate Investments Group, Inc. Chicago 7 2 C
39 Insight Securities, Inc. Highland Park 7 18 B
40 State Farm VP Management Corp. Bloomington 7 2,490 B
41 Access Financial Group, Inc. Chicago 6 5 B
42 Archipelago Securities L.L.C. Chicago 6 4 B
43 Arete Wealth Management, LLC Chicago 6 62 B
44 Dash Prime LLC Chicago 6 3 B
45 DWS Distributors, Inc. Chicago 6 13 C
46 Hightower Securities, LLC Chicago 6 80 C
47 Horace Mann Investors, Inc. Springfield 6 287 B
48 Phillip Capital Inc. Chicago 6 2 C
49 XR Securities LLC Chicago 6 1 D
50 ZIV Investment Company Chicago 6 4 B

Dense registered-firm inventory

Illinois in the denser-inventory third

Illinois ranks #4 of 56 by BrokerCheck firm count (200 firms) - denser third of the board.

Illinois sits in the denser third by registered-firm inventory (#4 of 56, 200 firms) as of July 2026. Grade-A share is 49.5% (99 of 200 graded) - cloudier third among floor-qualified states; D/F share is 10.0%. Heaviest raw book in-state: ABN Amro Clearing USA LLC (83 disclosures across 3 offices).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in Illinois can lift statewide totals without describing every local office. This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Illinois sit among states by BrokerCheck disclosure load?
Illinois is in the heavier third by aggregate disclosure load (#5 of 56, 1,018 events) while inventory ranks #4 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in Illinois?
Illinois registers 200 BrokerCheck firms (#4 denser-third inventory). 99 (49.5%) hold a clean Grade-A record.
Which Illinois broker-dealer has the most FINRA disclosures?
ABN Amro Clearing USA LLC leads Illinois's listing with 83 BrokerCheck disclosures across 3 offices (Grade F). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Illinois's safety grades?
On Illinois's heavier-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.
Is this official Illinois broker data?
Yes. Illinois's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Illinois Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Illinois. Illinois ranks #4 by firm inventory and #5 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD 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. Data current as of July 2026.