Michael J. Erskine
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.
Michael James Erskine, who also goes by Michael Erskine, Mike Erskine, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
December 21, 2015 - April 8, 2016
W&S BROKERAGE SERVICES, INC.
January 30, 2014 - February 10, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 28, 2014 - February 10, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 8, 2011 - June 13, 2012
PARKLAND SECURITIES, LLC
February 19, 2009 - February 1, 2011
INVESTMENT CENTERS OF AMERICA, INC.
February 18, 2009 - February 1, 2011
INVESTMENT CENTERS OF AMERICA, INC.
August 7, 2007 - May 2, 2008
ESSEX NATIONAL SECURITIES, LLC
August 1, 2007 - May 2, 2008
ESSEX NATIONAL SECURITIES, LLC
April 17, 2006 - May 31, 2007
PFIC ADVISORS, INC.
August 23, 2004 - May 31, 2007
PFIC SECURITIES CORPORATION
December 5, 2000 - July 8, 2004
VISION INVESTMENT SERVICES, INC.
September 22, 1999 - November 14, 2000
FINTEGRA, LLC
March 27, 1998 - April 28, 1999
BANCNORTH INVESTMENT GROUP, INC.
August 29, 1996 - November 24, 1998
CETERA INVESTMENT SERVICES LLC
May 1, 1995 - January 31, 1996
GUARANTY BROKERAGE SERVICES, INC.
September 25, 1992 - April 17, 1995
IFMG SECURITIES, INC.
April 7, 1988 - October 3, 1991
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 28, 1983 - January 19, 1989
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.
