MR
Mark A. Rankin
W&S BROKERAGE SERVICES
Willoughby, OH 44094
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CRD#: 1826960
MR
Professional summary
Mark Allen Rankin is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Willoughby, Ohio.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Allen Rankin'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®
NoneExperience
Current
June 20, 2018 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 4230 State Route 306 Suite 300, Willoughby, OH 44094Office #2: 6100 Oak Tree Blvd Suite 390, Independence, OH 44131RIA
BD
CRD#: 8099
Willoughby, OH
Past
December 9, 2014 - May 23, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Stow, OH
Past
December 8, 2014 - May 23, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Stow, OH
Past
October 1, 2012 - December 3, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
RAVENNA, OH
Past
October 1, 2012 - December 3, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
RAVENNA, OH
Past
September 13, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WHEELING, WV
Past
September 13, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WHEELING, WV
Past
January 28, 2010 - August 29, 2011
FIRSTMERIT ADVISORS, INC.
RIA
CRD#: 125249
AKRON, OH
Past
January 14, 2010 - August 29, 2011
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
AKRON, OH
Past
January 4, 2007 - January 14, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NEW CASTLE, PA
Past
October 1, 2002 - November 28, 2006
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
April 16, 2002 - September 23, 2002
AMFIN INVESTMENT SERVICES, INC.
BD
CRD#: 13945
CLEVELAND, OH
Past
December 10, 1998 - April 3, 2001
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
November 8, 1995 - December 8, 1998
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
April 24, 1995 - November 8, 1995
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
January 9, 1995 - May 8, 1995
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
February 15, 1994 - December 5, 1994
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
Past
February 5, 1993 - November 22, 1993
NATIONAL CITY INVESTMENTS CORPORATION
BD
CRD#: 17365
Past
April 10, 1990 - January 27, 1993
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
May 25, 1988 - March 7, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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.
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
Alabama(1/12/2021)
RR
Alaska(10/20/2025)
RR
Arizona(1/15/2019)
RR
California(1/31/2019)
RR
Colorado(8/9/2019)
RR
Connecticut(3/17/2023)
RR
Florida(1/31/2019)
RR
Georgia(5/12/2021)
RR
Hawaii(1/31/2019)
RR
Idaho(5/6/2021)
RR
Illinois(4/17/2019)
RR
Indiana(10/13/2020)
RR
Kansas(1/27/2023)
RR
Kentucky(1/31/2019)
RR
Maine(1/31/2019)
RR
Maryland(1/31/2019)
RR
Massachusetts(1/18/2022)
RR
Michigan(1/31/2019)
RR
Minnesota(5/6/2021)
RR
Mississippi(1/31/2019)
RR
Missouri(5/12/2021)
RR
Nebraska(5/12/2021)
RR
Nevada(2/19/2021)
RR
New Jersey(1/31/2019)
RR
New Mexico(2/22/2022)
RR
New York(5/12/2021)
RR
North Carolina(10/11/2019)
RR
Ohio(6/20/2018)
RR
Oklahoma(2/26/2020)
RR
Oregon(5/12/2021)
RR
Pennsylvania(1/31/2019)
RR
South Carolina(9/9/2021)
RR
Tennessee(6/22/2023)
RR
Texas(1/31/2019)
RR
Utah(1/28/2021)
RR
Virginia(3/29/2021)
RR
Washington(5/12/2021)
RR
West Virginia(1/31/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
