William E. Counts
Professional summary
William Everett Counts IV, who also goes by Joe Counts, William E Counts IV, William E Counts, William Everett Counts, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Greensboro, North Carolina.
William is registered as a RR (Registered Representative) and started their career in finance in 1983. William has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Everett Counts IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 7025 Albert Pick Rd Suite 101, Greensboro, NC 27409-9519January 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
(5/31/2023)
(6/1/2023)
Exams
FINRA
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
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Company Information
W&S BROKERAGE SERVICES, INC.
CRD#: 8099Greensboro, NC 27409-9519TRUST BUT VERIFY
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