CRD #37306 · FINRA BrokerCheck + SEC IAPD

DWS Distributors, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DWS Distributors, Inc. ranks #1,174 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #45 of 200 on the same disclosure sort used on the state browse page. DWS Distributors, Inc. carries 6 BrokerCheck disclosures across 13 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
13
branch offices
6
disclosures
#1,174 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 37306 DWS Distributors, Inc.

DWS Distributors, Inc. · Grade C · 6 disc · 0.46/office · Regional firm

  • CRD 37306
  • GRADE C
  • DISC 6
  • REG 5
  • ARB 1
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.46
  • RANK #1,174 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: John Hancock Distributors LLC (0.46 disc/office)

John Hancock Distributo…0.46Worth Financial Group Inc.0.46Muriel Siebert & Co., LLC0.44DWS Distributors, Inc. (this)0.46
Disclosures per office among regional firm peers (lower is cleaner)

DWS Distributors, Inc. ranks #1,174 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.46 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

13 offices

FINRA: Medium firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

5 actions

83% of all disclosures

Disclosures per office

0.46 per office

6 ÷ 13 offices

DWS Distributors, Inc. vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

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

Counts for DWS Distributors, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL, 60606-5808
Formed
09/20/1994
State of Formation
Delaware
CRD Number
37306
SEC Number
47765

Regulator-heavy mix

DWS Distributors, Inc. in the heavier-disclosure third

DWS Distributors, Inc. carries 6 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#1,174 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).

83% of DWS Distributors, Inc.'s 6 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Illinois cohort · 1.18× state average

DWS Distributors, Inc. sits above the Illinois disclosure average

DWS Distributors, Inc. reports 6 BrokerCheck disclosures, 1.18× 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 DWS Distributors, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DWS Distributors, Inc. ranks #1,174 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #45 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 DWS Distributors, Inc.?
A grade of C reflects DWS Distributors, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 6 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does DWS Distributors, Inc. have?
DWS Distributors, Inc. has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is DWS Distributors, Inc.?
DWS Distributors, Inc. operates 13 branch offices and is classified by FINRA as a medium firm, registered in IL (Regional 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 DWS Distributors, Inc.'s disciplinary record?
You can verify DWS Distributors, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37306. 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). DWS Distributors, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid DWS Distributors, Inc. 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. DWS Distributors, Inc. carries 6 disclosures across 13 branch offices (about 0.46 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 DWS Distributors, Inc., 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.