Eugenio Echevarria
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.
Eugenio Echevarria, who also goes by Gino Echevarria, Gino Echevarria, was a registered financial professional .
Eugenio is a previously registered financial professional and started their career in finance in 1992. Eugenio had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2022 - June 20, 2022
W&S BROKERAGE SERVICES, INC.
June 24, 2019 - January 7, 2022
NYLIFE SECURITIES LLC
June 3, 2016 - May 8, 2018
J.P. MORGAN SECURITIES LLC
June 3, 2016 - May 8, 2018
J.P. MORGAN SECURITIES LLC
January 28, 2015 - April 22, 2016
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - April 22, 2016
CAPITAL ONE INVESTING, LLC
April 14, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
April 14, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
October 31, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 17, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 7, 2010 - January 4, 2011
CHASE INVESTMENT SERVICES CORP.
June 4, 2010 - January 4, 2011
CHASE INVESTMENT SERVICES CORP.
April 14, 2010 - May 28, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 12, 2006 - January 28, 2010
EDWARD JONES
June 12, 2006 - January 28, 2010
EDWARD JONES
May 23, 2005 - June 9, 2006
BCG SECURITIES, INC.
May 3, 2005 - June 9, 2006
BCG SECURITIES, INC.
February 23, 1998 - May 5, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 1997 - May 5, 2005
IDS LIFE INSURANCE COMPANY
October 24, 1997 - May 5, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 1996 - September 20, 1997
MONEY CONCEPTS CAPITAL CORP
October 25, 1995 - January 29, 1996
OSAIC FS, INC.
August 17, 1992 - October 25, 1995
WADDELL & REED
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.
