Fred Rossen
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.
Fred Rossen, who also goes by Fred Howard Rossen, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1986. Fred had worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 22, Series 9 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
June 8, 2020 - February 24, 2021
W&S BROKERAGE SERVICES, INC.
February 3, 2000 - January 28, 2004
PRUCO SECURITIES, LLC.
January 31, 2000 - January 28, 2004
PRUCO SECURITIES, LLC.
January 1, 1999 - December 22, 1999
TOWER SQUARE SECURITIES, INC.
April 16, 1996 - February 5, 1997
MSI FINANCIAL SERVICES, INC.
March 17, 1995 - November 12, 1997
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
June 13, 1994 - September 21, 1994
FAIC SECURITIES, INC.
January 7, 1994 - April 6, 1994
FIRST UNION BROKERAGE SERVICES, INC.
July 30, 1993 - March 8, 1994
DUNHILL EQUITIES, INC.
February 6, 1992 - July 20, 1993
CITICORP INVESTMENT SERVICES
February 5, 1992 - July 20, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
April 17, 1991 - January 17, 1992
DETWILER FENTON WEALTH MANAGEMENT INC
January 26, 1990 - October 8, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1986 - July 21, 1989
UR FINANCIAL, 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
Series 6TO
Date: 6/8/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
