Antonio Jefferson
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.
Antonio Jefferson, who also goes by Antonio Denard Jefferson, Tony Denard Jefferson, Tony Jefferson, was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1994. Antonio had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
December 17, 2014 - March 4, 2016
W&S BROKERAGE SERVICES, INC.
October 1, 2012 - July 23, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 23, 2014
J.P. MORGAN SECURITIES LLC
July 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 5, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 11, 2011 - May 17, 2012
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - May 17, 2012
PNC WEALTH MANAGEMENT LLC
March 6, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
February 11, 2008 - February 25, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 2007 - February 15, 2008
FIFTH THIRD SECURITIES, INC.
January 1, 1999 - January 31, 2007
OPPENHEIMER & CO. INC.
September 18, 1997 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
August 17, 1995 - May 1, 1996
MORGAN STANLEY DW INC.
May 26, 1994 - January 26, 1995
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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.
