John V. Dutka
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.
John Vincent Dutka was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 15 firms and has passed the Series 63, SIE, Series 6 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
September 17, 2019 - September 6, 2022
W&S BROKERAGE SERVICES, INC.
February 7, 2018 - February 13, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 26, 2013 - March 14, 2016
W&S BROKERAGE SERVICES, INC.
January 1, 2004 - March 9, 2004
VOYA FINANCIAL ADVISORS, INC.
August 22, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 15, 2003 - May 22, 2003
ALANAR INCORPORATED
December 4, 2002 - February 3, 2003
COUNTRY CAPITAL MANAGEMENT COMPANY
September 28, 1999 - January 15, 2002
METROPOLITAN LIFE INSURANCE COMPANY
September 28, 1999 - January 15, 2002
MSI FINANCIAL SERVICES, INC.
October 20, 1998 - September 13, 1999
MONY SECURITIES CORPORATION
May 17, 1996 - January 14, 1997
WMA SECURITIES, INC.
August 22, 1995 - September 13, 1995
WOODBURY FINANCIAL SERVICES, INC.
July 25, 1994 - August 11, 1994
WORLD EQUITY GROUP, INC.
April 18, 1994 - June 24, 1994
IDS LIFE INSURANCE COMPANY
April 18, 1994 - June 24, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 1994 - March 10, 1994
CHATFIELD DEAN & CO., 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.
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