MK
Michael G. Kotval
W&S BROKERAGE SERVICES
Baton Rouge, LA 70808
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CRD#: 2557011
MK
Professional summary
Michael Gene Kotval is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Baton Rouge, Louisiana.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Michael Gene Kotval'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
October 23, 2013 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 5555 Hilton Ave Suite 200, Baton Rouge, LA 70808Office #2: 315 South College Suite 222, Lafayette, LA 70503RIA
BD
CRD#: 8099
Baton Rouge, LA
Past
June 2, 2011 - September 10, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BATON ROUGE, LA
Past
October 20, 2009 - May 26, 2011
HANCOCK WHITNEY INVESTMENT SERVICES INC.
RIA
CRD#: 40637
BATON ROUGE, LA
Past
October 20, 2009 - May 26, 2011
HANCOCK WHITNEY INVESTMENT SERVICES INC.
BD
CRD#: 40637
BATON ROUGE, LA
Past
October 24, 2007 - September 23, 2009
HANCOCK WHITNEY INVESTMENT SERVICES INC.
RIA
CRD#: 40637
BATON ROUGE, LA
Past
March 2, 2005 - September 23, 2009
HANCOCK WHITNEY INVESTMENT SERVICES INC.
BD
CRD#: 40637
BATON ROUGE, LA
Past
September 17, 2002 - March 3, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
BATON ROUGE, LA
Past
March 2, 2000 - March 3, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
October 8, 1999 - January 20, 2000
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
April 23, 1998 - March 26, 1999
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
April 10, 1995 - January 7, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arkansas(4/1/2025)
RR
Georgia(9/17/2021)
RR
Louisiana(10/23/2013)
RR
Maryland(3/9/2023)
RR
Mississippi(9/18/2024)
RR
New York(3/25/2021)
RR
North Carolina(2/6/2018)
RR
Ohio(6/20/2023)
RR
Texas(2/6/2018)
RR
Virginia(2/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
Company Information
W&S BROKERAGE SERVICES, INC.
CRD#: 8099Baton Rouge, LA 70808TRUST BUT VERIFY
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