James S. Schaffer
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.
James Scott Schaffer, who also goes by J. Scott Schaffer, James S Schaffer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 9 firms and has passed the Series 66, SIE, 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
May 12, 2014 - January 8, 2015
W&S BROKERAGE SERVICES, INC.
August 7, 2012 - December 31, 2013
ONEAMERICA SECURITIES, INC.
August 6, 2012 - December 31, 2013
ONEAMERICA SECURITIES, INC.
November 7, 2011 - August 10, 2012
SIGNATOR INVESTORS, INC.
August 8, 2011 - August 10, 2012
SIGNATOR INVESTORS, INC.
December 8, 2009 - March 24, 2011
CHASE INVESTMENT SERVICES CORP.
December 8, 2009 - March 24, 2011
CHASE INVESTMENT SERVICES CORP.
July 10, 2008 - December 21, 2009
CAPITAL FINANCIAL SERVICES, INC.
July 9, 2008 - December 21, 2009
CAPITAL FINANCIAL SERVICES, INC.
April 23, 2003 - July 9, 2008
LPL FINANCIAL LLC
April 17, 2003 - July 9, 2008
LPL FINANCIAL LLC
May 25, 2000 - April 17, 2003
AMERITAS INVESTMENT COMPANY, LLC
December 19, 1994 - June 22, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 1994 - June 22, 2000
MSI FINANCIAL SERVICES, 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.
