William E. Counts
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.
William Everett Counts IV, who also goes by Joe Counts, William E Counts IV, William E Counts, William Everett Counts, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2023 - August 17, 2026
W&S BROKERAGE SERVICES, INC.
January 11, 2022 - January 19, 2023
MWA FINANCIAL SERVICES INC.
January 7, 2021 - October 20, 2021
MML INVESTORS SERVICES, LLC
February 6, 2020 - May 13, 2020
PRUCO SECURITIES, LLC.
July 26, 2019 - February 5, 2020
MML INVESTORS SERVICES, LLC
June 4, 2019 - August 1, 2019
AMERITAS INVESTMENT COMPANY, LLC
April 22, 2016 - June 3, 2019
P.J. ROBB VARIABLE, LLC
August 3, 2015 - February 3, 2016
ALLSTATE FINANCIAL SERVICES, LLC
January 6, 2014 - July 2, 2015
EQUITY SERVICES, INC.
September 19, 2008 - August 2, 2013
PARK AVENUE SECURITIES LLC
September 29, 2006 - September 16, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 22, 2003 - September 26, 2006
NYLIFE SECURITIES LLC
December 11, 2001 - October 3, 2003
METROPOLITAN LIFE INSURANCE COMPANY
December 11, 2001 - October 3, 2003
MSI FINANCIAL SERVICES, INC.
August 1, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 1, 1991 - January 3, 2002
SIGNATOR INVESTORS, INC.
March 21, 1983 - February 28, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 21, 1983 - February 28, 1991
EQUITABLE ADVISORS, 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.
