Richard J. Bort
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.
Richard John Bort, who also goes by Richard John Bort, Richard John Bortkiewicz, Richard Bortkiewicz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2022 - November 29, 2022
W&S BROKERAGE SERVICES, INC.
June 16, 2022 - November 29, 2022
W&S BROKERAGE SERVICES, INC.
November 1, 2021 - May 10, 2022
AMERITAS ADVISORY SERVICES, LLC
January 28, 2021 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
January 4, 2021 - May 10, 2022
AMERITAS INVESTMENT COMPANY, LLC
August 1, 2017 - December 16, 2020
EQUITABLE ADVISORS, LLC
August 1, 2017 - December 16, 2020
EQUITABLE ADVISORS, LLC
November 17, 2016 - July 31, 2017
SIGNATOR INVESTORS, INC.
September 29, 2016 - October 26, 2016
SIGNATOR INVESTORS, INC.
September 29, 2016 - July 31, 2017
SIGNATOR INVESTORS, INC.
December 24, 2014 - September 30, 2016
EAGLE STRATEGIES LLC
November 4, 2014 - September 30, 2016
NYLIFE SECURITIES LLC
September 10, 2013 - August 14, 2014
PRUCO SECURITIES, LLC.
September 6, 2013 - August 14, 2014
PRUCO SECURITIES, LLC.
April 5, 2007 - May 31, 2012
SIGNATOR INVESTORS, INC.
May 9, 2003 - March 13, 2007
NYLIFE SECURITIES LLC
November 20, 1990 - April 23, 2003
METROPOLITAN LIFE INSURANCE COMPANY
November 20, 1990 - April 23, 2003
MSI FINANCIAL SERVICES, 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
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
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.
