VA
Vivienne R. Ather
W&S BROKERAGE SERVICES
Jacksonville, FL 32256-0566
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CRD#: 1985131
VA
Professional summary
Vivienne Rukminie Ather, who also goes by Rukminie VIvienne Ather, Rukminie Ather, Vivienne Ather, Vivienne R Ather, Vivienne Rukminie Ather, Rukminie V Chanderdatt, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Jacksonville, Florida.
Vivienne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Vivienne has worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rukminie Vivienne Ather | Rukminie Ather | Vivienne Ather | Vivienne R Ather | Vivienne Rukminie Ather | Rukminie V Chanderdatt
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-No-Jacksonville FL- Full Time Sales Agent/// Toastmasters International; Jacksonville, FL; Non-profit club to advance public speaking skills; Not securities related; Officer; 4 hours per month with none during trading hours; Helps schedule meetings and evaluate speakers; No compensation///
CRS (Client Relationship Summary) - RIA
Click below to view Vivienne Rukminie Ather's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vivienne Rukminie Ather'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
August 16, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 10151 Deerwood Park Blvd Bld 300 Ste 330, Jacksonville, FL 32256-0566RIA
BD
CRD#: 8099
Jacksonville, FL
Current
August 15, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 10151 Deerwood Park Blvd Bld 300 Ste 330, Jacksonville, FL 32256-0566RIA
BD
CRD#: 8099
Jacksonville, FL
Past
August 19, 2022 - December 14, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Jacksonville, FL
Past
August 18, 2022 - December 14, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Jacksonville, FL
Past
June 12, 2019 - June 30, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Jacksonville, FL
Past
May 1, 2019 - June 30, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Jacksonville, FL
Past
July 31, 2018 - April 12, 2019
NESTEGGS, INC.
RIA
CRD#: 133507
JACKSONVILLE, FL
Past
March 25, 2011 - October 20, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
BANGOR, PA
Past
November 20, 2009 - July 21, 2010
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
NEW YORK, NY
Past
July 14, 2008 - June 16, 2009
SHUFRO, ROSE & CO., LLC
BD
CRD#: 3403
NEW YORK, NY
Past
October 4, 2006 - July 3, 2008
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
KINGSTON, PA
Past
November 30, 2000 - June 28, 2005
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, 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.
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
IAR
Alabama(9/18/2025)
IAR
California(9/18/2025)
RR
Florida(8/15/2023)
IAR
Florida(8/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/1/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
Company Information
W&S BROKERAGE SERVICES, INC.
CRD#: 8099Jacksonville, FL 32256-0566TRUST BUT VERIFY
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