Ronald S. Bator
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.
Ronald Stanley Bator was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1982. Ronald had worked at 11 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2015 - June 19, 2015
W&S BROKERAGE SERVICES, INC.
October 5, 2011 - September 27, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 17, 2008 - October 19, 2009
GLP INVESTMENT SERVICES, LLC
October 31, 2003 - November 29, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 3, 1997 - October 31, 2003
ZAHORIK COMPANY, INC.
June 19, 1996 - January 4, 1997
LEGACY FINANCIAL SERVICES, INC.
January 22, 1994 - December 7, 1995
FIDELITY BROKERAGE SERVICES LLC
December 4, 1992 - December 8, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 23, 1988 - November 20, 1992
GUARDIAN INVESTOR SERVICES LLC
June 9, 1986 - April 30, 1988
WS GRIFFITH SECURITIES, INC.
October 5, 1982 - July 9, 1986
ILG SECURITIES CORPORATION
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.
