James A. Diaferio
Professional summary
James Anthony Diaferio, who also goes by James A Diaferio, James Anthony Diaferio, Jim Diaferio, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Westlake, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 21 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Diaferio's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1301 Solana Blvd Building 1, Suite 1529, Westlake, TX 76262October 6, 2021 - January 18, 2023
PRINCIPAL SECURITIES, INC.
October 21, 2019 - September 28, 2021
ALLSTATE FINANCIAL SERVICES, LLC
July 26, 2017 - April 10, 2018
ALLSTATE FINANCIAL SERVICES, LLC
October 15, 2010 - May 4, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
June 29, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
June 28, 2010 - May 4, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 1, 2007 - March 5, 2010
EQUITABLE ADVISORS, LLC
April 27, 2007 - March 5, 2010
EQUITABLE ADVISORS, LLC
October 31, 2005 - April 17, 2007
OSAIC SERVICES, INC.
October 31, 2005 - April 17, 2007
OSAIC SERVICES, INC.
April 5, 2001 - October 31, 2005
SENTRA SECURITIES CORPORATION
April 5, 2001 - October 31, 2005
SENTRA SECURITIES CORPORATION
May 8, 2000 - April 10, 2001
RYAN BECK & CO.
December 13, 1999 - April 20, 2000
VERAVEST INVESTMENTS, INC.
March 8, 1999 - December 7, 1999
PFIC SECURITIES CORPORATION
October 1, 1998 - March 19, 1999
FISERV INVESTOR SERVICES, INC.
November 20, 1997 - October 2, 1998
COMPULIFE INVESTOR SERVICES, INC.
August 8, 1997 - November 7, 1997
BARNETT INVESTMENTS, INC.
September 26, 1995 - November 12, 1996
FLEET ENTERPRISES, INC.
October 23, 1993 - August 31, 1995
MORGAN STANLEY DW INC.
October 6, 1992 - April 28, 1993
METROPOLITAN LIFE INSURANCE COMPANY
October 6, 1992 - April 28, 1993
MSI FINANCIAL SERVICES, INC.
December 4, 1989 - September 15, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 4, 1989 - September 15, 1992
PRUCO SECURITIES, LLC.
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
(3/29/2024)
(10/24/2025)
(11/20/2024)
(3/30/2024)
(3/16/2023)
Exams
FINRA
Current 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
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