Richard E. Scott
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 Edward Scott was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 14 firms and has passed the Series 63, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2021 - March 21, 2022
W&S BROKERAGE SERVICES, INC.
August 29, 2016 - January 18, 2018
SIGNATOR INVESTORS, INC.
June 28, 2016 - January 18, 2018
SIGNATOR INVESTORS, INC.
March 27, 2014 - June 17, 2016
PRINCIPAL SECURITIES, INC.
March 5, 2014 - June 17, 2016
PRINCIPAL SECURITIES, INC.
March 30, 2012 - March 4, 2014
FFEC WEALTH PARTNERS LLC
March 30, 2012 - March 4, 2014
FFEC WEALTH PARTNERS LLC
July 20, 2011 - April 10, 2012
MORGAN STANLEY
July 7, 2011 - April 10, 2012
MORGAN STANLEY
February 17, 2009 - April 21, 2010
CAMPBELL KELLER ASSET MANAGEMENT
June 20, 2008 - December 31, 2008
VISTA AMERICAN CORPORATION
June 6, 2006 - December 21, 2007
CREDIT SUISSE SECURITIES (USA) LLC
May 31, 2006 - December 21, 2007
CREDIT SUISSE SECURITIES (USA) LLC
August 9, 2005 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2003 - September 28, 2004
J.P. MORGAN SECURITIES LLC
August 6, 2003 - September 28, 2004
J.P. MORGAN SECURITIES LLC
June 11, 1999 - August 15, 2003
AMERICAN BEACON ADVISORS, INC.
December 15, 1998 - August 5, 2003
MOMENTUM INDEPENDENT NETWORK INC.
December 4, 1997 - January 6, 1998
BA INVESTMENT SERVICES, INC.
July 12, 1995 - December 5, 1995
FAIRFIELD GROUP, INC.
March 3, 1994 - June 13, 1995
MOMENTUM INDEPENDENT NETWORK INC.
June 19, 1992 - September 8, 1993
SEI INVESTMENTS DISTRIBUTION CO.
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
Series 6TO
Date: 10/28/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
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