Isaac H. Kearney
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.
Isaac Henry Kearney, who also goes by Ike Kearney III, Ike Kearney, was a registered financial professional .
Isaac is a previously registered financial professional and started their career in finance in 1985. Isaac had worked at 13 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2011 - May 10, 2012
W&S BROKERAGE SERVICES, INC.
October 19, 2010 - February 15, 2011
OPPENHEIMER & CO. INC.
February 22, 2010 - August 3, 2010
COHEN & COMPANY SECURITIES, LLC
October 6, 2009 - February 22, 2010
INTL FCSTONE CREDIT TRADING LLC
April 10, 2008 - August 25, 2009
R.W.PRESSPRICH & CO.
December 13, 2006 - January 31, 2008
MAXIM GROUP LLC
July 17, 2006 - December 13, 2006
ABN AMRO INCORPORATED
July 11, 2006 - December 5, 2006
LASALLE FINANCIAL SERVICES, INC.
April 24, 2001 - August 7, 2003
BANC OF AMERICA SECURITIES LLC
December 19, 1990 - December 14, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 24, 1989 - December 7, 1990
UBS SECURITIES LLC
June 29, 1988 - June 10, 1989
DB ALEX. BROWN LLC
March 19, 1985 - October 28, 1986
CITICORP SECURITIES, INC.
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.
