Richard F. Bregstein
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.
Richard Fredric Bregstein was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1983. Richard had worked at 15 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2006 - September 29, 2006
W&S BROKERAGE SERVICES, INC.
February 23, 2005 - December 15, 2005
CETERA WEALTH SERVICES, LLC
June 2, 2004 - February 11, 2005
VANGUARD MARKETING CORPORATION
March 17, 2003 - July 7, 2004
WEALTHKARE.COM, INC.
November 9, 1999 - June 12, 2002
CONSECO EQUITY SALES, INC.
September 15, 1998 - October 28, 1999
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 6, 1996 - October 27, 1999
NATIONAL PLANNING CORPORATION
November 18, 1994 - March 3, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
March 22, 1993 - October 26, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
August 18, 1992 - March 23, 1993
CUNA BROKERAGE SERVICES, INC.
June 18, 1992 - August 24, 1992
MAIN STREET MANAGEMENT COMPANY
March 28, 1988 - November 14, 1990
MORGAN STANLEY DW INC.
May 13, 1986 - May 18, 1988
ADVANTAGE CAPITAL CORPORATION
May 13, 1986 - May 26, 1988
AMERICAN CAPITAL MARKETING, INC.
November 18, 1983 - March 3, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
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.
