GK
George M. Kay
W&S BROKERAGE SERVICES
Westlake, TX 76262
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CRD#: 1377320
GK
Professional summary
George Mitchell Kay, ChFC®, CLU®, who also goes by Mitch Kay, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Westlake, Texas.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. George has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mitch Kay
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Western & Southern Life - Cincinnati, OH - Divisional Vice President
CRS (Client Relationship Summary) - RIA
Click below to view George Mitchell Kay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Mitchell Kay's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
February 11, 2019 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1301 Solana Blvd Building 1, Suite 1529, Westlake, TX 76262Office #2: 6075 The Corners Pkwy Suite 205, Norcross, GA 30092-3329Office #3: 1312 W Dixon Blvd, Shelby, NC 28152Office #4: 400 Broadway 4th Floor, Cincinnati, OH 45202Office #5: 330 Pelham Road Building B Suite 109b, Greenville, SC 29615-3111Office #6: 1616 S Voss Road Suite 500, Houston, TX 77057Office #7: 1838 Sir Tyler Drive Suite 100, Wilmington, NC 28405Office #8: 7400 Carmel Executive Park Dr Suite 110, Charlotte, NC 28226Office #9: 115 Central Island Street Suite 190, Daniel Island, SC 29492-7320RIA
BD
CRD#: 8099
Westlake, TX
Current
July 2, 2018 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1301 Solana Blvd Building 1, Suite 1529, Westlake, TX 76262Office #2: 6075 The Corners Pkwy Suite 205, Norcross, GA 30092-3329Office #3: 1312 W Dixon Blvd, Shelby, NC 28152Office #4: 400 Broadway 4th Floor, Cincinnati, OH 45202Office #5: 330 Pelham Road Building B Suite 109b, Greenville, SC 29615-3111Office #6: 1616 S Voss Road Suite 500, Houston, TX 77057Office #7: 1838 Sir Tyler Drive Suite 100, Wilmington, NC 28405Office #8: 7400 Carmel Executive Park Dr Suite 110, Charlotte, NC 28226Office #9: 115 Central Island Street Suite 190, Daniel Island, SC 29492-7320RIA
BD
CRD#: 8099
Westlake, TX
Past
February 2, 2004 - April 20, 2018
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
CHARLOTTE, NC
Past
May 18, 1994 - April 20, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLOTTE, NC
Past
August 2, 1985 - April 28, 1994
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(7/2/2018)
IAR
Florida(5/20/2019)
RR
Georgia(1/25/2021)
RR
Louisiana(7/2/2018)
IAR
Louisiana(2/11/2019)
RR
North Carolina(7/11/2018)
RR
Ohio(7/3/2018)
RR
South Carolina(1/25/2021)
RR
Tennessee(1/25/2021)
RR
Texas(7/2/2018)
IAR
Texas(2/11/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
400 Broadway, Cincinnati, OH 45202
Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202
Phone number
(513) 629-1055
Established
Ohio since 05/21/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
95
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.
