David J. Layo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David James Layo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2018 - November 1, 2021
W&S BROKERAGE SERVICES, INC.
June 22, 2015 - June 12, 2017
FIFTH THIRD SECURITIES, INC.
June 12, 2015 - June 12, 2017
FIFTH THIRD SECURITIES, INC.
March 29, 2012 - June 15, 2015
INVESTMENT PROFESSIONALS, INC.
March 29, 2012 - June 15, 2015
INVESTMENT PROFESSIONALS, INC.
October 30, 2007 - April 5, 2012
CETERA INVESTMENT SERVICES LLC
October 30, 2007 - April 5, 2012
CETERA INVESTMENT SERVICES LLC
June 29, 2007 - October 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2007 - October 24, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 6, 2004 - June 28, 2007
CETERA INVESTMENT SERVICES LLC
January 15, 2003 - June 28, 2007
CETERA INVESTMENT SERVICES LLC
January 2, 2003 - January 14, 2003
AFS BROKERAGE, INC.
August 21, 1996 - July 25, 2001
THE ADVISORS GROUP, INC.
August 17, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 2, 1983 - May 23, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
Red Flags
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.
