Jeane Harte
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.
Jeane Harte, who also goes by Jeane Marie Harte, Jeanne Marie Harte, Jeane Marie Hendy-williams, was a registered financial professional .
Jeane is a previously registered financial professional and started their career in finance in 1988. Jeane had worked at 12 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 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
June 27, 2020 - September 11, 2020
W&S BROKERAGE SERVICES, INC.
July 20, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
November 7, 1997 - September 20, 2000
UBS FINANCIAL SERVICES INC.
June 16, 1997 - November 24, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 16, 1997 - November 24, 1997
OSAIC FA, INC.
May 27, 1994 - June 26, 1997
SUNPOINT SECURITIES, INC.
January 22, 1994 - June 2, 1994
AFFILIATED FINANCIAL SERVICES, INC.
February 22, 1990 - December 19, 1993
ROBINSON & LUKENS, INC.
November 22, 1989 - December 4, 1989
DOMINICK & DICKERMAN LLC
August 23, 1988 - October 14, 1989
EMANUEL AND COMPANY
March 30, 1988 - August 23, 1988
J. W. GANT & ASSOCIATES, INC.
January 19, 1988 - April 7, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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: 6/27/2020
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.
