Jay Stuart Hergott
Professional Summary
Jay Stuart Hergott was a registered financial advisor. Jay was a previously registered financial professional and started their career in finance 2011 - 2012. Jay had worked at 1 firm.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
1 years in the financial services industry
Current & Past Employments
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Current Firm
DRO-WST TRADING, LLC
Contact Information
Established
Illinois since 06/04/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTCOTT, MARK EDWARD | SERIES 24 PRINCIPAL, CLASS A MEMBER, CCO | 1305966 |
| DALESANDRO, MICHAEL ANTHONY | CLASS A MEMBER | 2359354 |
| CARROLL, JOHN DAVID | SERIES 24 PRINCIPAL | 5823357 |
| DEFONSO, LEONARD MICHAEL | CLASS B MEMBER | 5908879 |
| FLEISCHMAN, PAUL | CLASS B MEMBER | — |
| GNAP, PAUL JOSEPH | CLASS B MEMBER | — |
| GRIFFITH, BRADLEY GENE | CLASS B MEMBER | 2399832 |
| HEILMANN, MATTHIAS LOTHAR | CLASS B MEMBER | 6002068 |
| KOLE, RYAN MICHAEL | CLASS B MEMBER | 4711203 |
| ODONNELL, LUKE GERARD JR | CLASS B MEMBER | 2373517 |
| PINNACLE TRADING, LLC | CLASS B MEMBER | — |
| SINAPOGLOU, MARIOS KONSTANTINOS | CLASS B MEMBER | 2672554 |
| SOMMERFIELD, TIMOTHY MACK | CLASS B MEMBER | — |
| VISWANATHAN, SRINIVASAN | CLASS B MEMBER | 2590014 |
| WALSH, JAMES MICHAEL | CLASS B MEMBER | 3105276 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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