Warren G. Roquemore
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.
Warren Gray Roquemore was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1984. Warren had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 4 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
September 23, 2015 - August 14, 2017
W&S BROKERAGE SERVICES, INC.
September 24, 2012 - December 19, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
August 20, 2012 - December 19, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 25, 2011 - August 29, 2012
HARBOR LIGHT INVESTMENT ADVISORS, LLC
November 24, 2009 - April 27, 2011
HARBOR LIGHT SECURITIES, LLC
November 24, 2009 - August 29, 2012
HARBOR LIGHT SECURITIES, LLC
January 2, 2002 - August 25, 2009
LPL FINANCIAL LLC
December 31, 2001 - August 25, 2009
LPL FINANCIAL LLC
October 1, 2000 - January 4, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 2, 1997 - August 25, 2000
SOUTHERN FINANCIAL GROUP, INC.
January 12, 1995 - May 5, 1997
WALNUT STREET SECURITIES, INC.
December 3, 1984 - May 25, 1994
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.
