CRD #121439 · FINRA BrokerCheck + SEC IAPD

DRO-WST Trading, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DRO-WST Trading, LLC ranks #616 of 20,055 by disclosure count (most disclosures first). DRO-WST Trading, LLC carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
11
disclosures
#616 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 121439 DRO-WST Trading, LLC

DRO-WST Trading, LLC · Grade D · 11 disc · 11.00/office · Single-office firm

  • CRD 121439
  • GRADE D
  • DISC 11
  • REG 11
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #616 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)

Asiel & Co. LLC11.00Auerbach, Pollak & Rich…11.00Bayou Securities, LLC11.00DRO-WST Trading, LLC (this)11.00
Disclosures per office among single-office firm peers (lower is cleaner)

DRO-WST Trading, LLC ranks #616 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 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

0 offices

FINRA: Small firm

Total disclosures

11 events

On FINRA BrokerCheck

Regulatory events

11 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 11
Arbitrations 0
Civil Events 0
Total 11

Counts for DRO-WST Trading, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 11 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
06/04/2002
State of Formation
Illinois
CRD Number
121439
SEC Number
65418

Regulator-heavy mix

DRO-WST Trading, LLC in the heavier-disclosure third

DRO-WST Trading, LLC carries 11 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#616 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).

100% of DRO-WST Trading, LLC's 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does DRO-WST Trading, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DRO-WST Trading, LLC ranks #616 of 20,055 by disclosure count (most disclosures first). 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 DRO-WST Trading, LLC?
A grade of D reflects DRO-WST Trading, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does DRO-WST Trading, LLC have?
DRO-WST Trading, LLC has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is DRO-WST Trading, LLC?
DRO-WST Trading, LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 DRO-WST Trading, LLC's disciplinary record?
You can verify DRO-WST Trading, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 121439. 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). DRO-WST Trading, LLC's 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid DRO-WST Trading, 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. DRO-WST Trading, LLC carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.

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.