KF
Kathryn A. Feldkamp
W&S BROKERAGE SERVICES
CINCINNATI, OH 45202
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CRD#: 2280813
KF
Professional summary
Kathryn Ann Feldkamp, who also goes by Kathryn A Raczko, Kathryn A Feldkamp, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1995. Kathryn has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathryn A Raczko | Kathryn A Feldkamp
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Ann Feldkamp'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
June 27, 2019 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 400 Broadway 4th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
CINCINNATI, OH
Past
May 7, 2014 - February 26, 2019
MORGAN STANLEY
RIA
CRD#: 149777
CINCINNATI, OH
Past
May 7, 2014 - February 26, 2019
MORGAN STANLEY
BD
CRD#: 149777
CINCINNATI, OH
Past
January 6, 2011 - April 22, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CINCINNATI, OH
Past
February 24, 2010 - April 22, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CINCINNATI, OH
Past
August 16, 1999 - December 31, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CINCINNATI, OH
Past
May 25, 1995 - December 31, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CINCINNATI, OH
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.
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
RR
Indiana(6/27/2019)
RR
Kentucky(6/27/2019)
RR
Ohio(6/27/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
W&S BROKERAGE SERVICES, INC.
CRD#: 8099Cincinnati, OH 45202TRUST BUT VERIFY
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