Illinois

Broker-dealer firm disciplinary records from FINRA BrokerCheck

75
Total Firms
75
Active Firms
75
Total Advisors
397
Total Disclosures

Grade Distribution

A
36
firms
B
0
firms
C
0
firms
D
0
firms
F
39
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
ABN AMRO CLEARING USA LLC 83 1 F Active
GROUP ONE TRADING LLC 33 1 F Active
X-CHANGE FINANCIAL ACCESS, LLC 33 1 F Active
WILLIAM BLAIR 32 1 F Active
LASALLE ST SECURITIES, L.L.C. 20 1 F Active
CTC, LLC 18 1 F Active
JUMP TRADING, LLC 15 1 F Active
B. C. ZIEGLER AND COMPANY 12 1 F Active
INSIGHT SECURITIES, INC. 12 1 F Active
TJM INVESTMENTS, LLC 12 1 F Active
TRADINGBLOCK 12 1 F Active
OPTIVER US LLC 11 1 F Active
DRW SECURITIES, L.L.C. 9 1 F Active
MATRIX EXECUTIONS, LLC 9 1 F Active
LBMZ SECURITIES, INC. 8 1 F Active
DASH PRIME LLC 6 1 F Active
DWS DISTRIBUTORS, INC. 6 1 F Active
HORACE MANN INVESTORS, INC. 6 1 F Active
XR SECURITIES LLC 6 1 F Active
ZIV INVESTMENT COMPANY 6 1 F Active
PTI SECURITIES & FUTURES L. P. 5 1 F Active
RCM SECURITIES 5 1 F Active
FIRST TRUST PORTFOLIOS L.P. 4 1 F Active
GENEVA STOCK, L.L.C. 4 1 F Active
SF INVESTMENTS, INC. 4 1 F Active
AON SECURITIES LLC 3 1 F Active
BOLT-X LLC 3 1 F Active
COMHAR CAPITAL MARKETS, LLC 3 1 F Active
IMC SECURITIES LLC 3 1 F Active
JAYPEE INTERNATIONAL, INC. 3 1 F Active
CCM SECURITIES, LLC 2 1 F Active
INVESTMENT PLANNERS, INC. 2 1 F Active
303 SECURITIES, LP 1 1 F Active
CARDINAL INVESTMENTS, INC. 1 1 F Active
HOVDE GROUP, LLC 1 1 F Active
JVM SECURITIES, LLC 1 1 F Active
KROLL SECURITIES LLC 1 1 F Active
MARC J. LANE & COMPANY 1 1 F Active
TASTYTRADE, INC. 1 1 F Active
2021 CAPITAL 0 1 A Active
3G FINANCIAL 0 1 A Active
4170 SECURITIES LLC 0 1 A Active
AEG CAPITAL, LLC 0 1 A Active
AMD CAPITAL, LLC 0 1 A Active
BDT & MSD PARTNERS, LLC 0 1 A Active
CULVERT CAPITAL LLC 0 1 A Active
DCM BROKERS, LLC 0 1 A Active
DNA SECURITIES LLC 0 1 A Active
DV EQUITIES 0 1 A Active
DV SECURITIES, LLC 0 1 A Active

Inside Illinois's Broker-Dealer Landscape

Illinois is home to 75 broker-dealer firms in FINRA's public register, of which 75 (100.0%) are currently marked ACTIVE. Those firms employ 75 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 397 disclosures on BrokerCheck, averaging 5.3 per firm. Grade distribution across Illinois's broker-dealers: 36 graded A, 0 graded B, 0 graded C, 0 graded D, and 39 graded F. That means 48.0% of graded firms hold an A and 52.0% fall into the D or F bands.

Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Illinois will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Illinois advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

All Illinois Firms → All States →

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

Related

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial