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DD

Daniel R. Dowling

Some features on this profile are disabled
CRD#: 2565854
DD

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.

Daniel Robert Dowling, who also goes by Dan Dowling, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Dowling

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 19, 2017 - February 2, 2018

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
Indianapolis, IN
Past

June 2, 2016 - October 4, 2016

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
BLOOMINGTON, IL
Past

April 26, 2013 - September 2, 2014

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
ZIONSVILLE, IN
Past

November 13, 2009 - September 2, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
ZIONSVILLE, IN
Past

May 20, 2006 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
ZIONSVILLE, IN
Past

July 6, 2005 - August 22, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 6, 2001 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

May 11, 1999 - June 29, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 22, 1998 - December 15, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

December 8, 1994 - April 5, 1995

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, 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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/17/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

W&S BROKERAGE SERVICES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

W&S WEALTH SOLUTIONS BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WESTERN AND SOUTHERN LIFE ASSURANCE COMPANYOWNER
BRODIE, TROY DALEPRESIDENT1924559
DELUCA, JAMES JOSEPHVP, MARKETING5420948
HERRON, SARAH SPARKSCORPORATE SECRETARY6905684
JOHNSON, JAY VINCENTTREASURER6607547
LOVELESS, MATTHEW WILLIAMVP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION5657647
LUEBBE, GREGORY MICHAELASSISTANT VICE PRESIDENT2924719
MCGRUDER, JILL TRIPPDIRECTOR1221720
MOURNE, DOUGLAS EDWARDAVP, BROKERAGE OPERATIONS2999021
NIEMEYER, JONATHAN DAVIDDIRECTOR5863603
SCOTT, SHAWN MICHAELCHIEF COMPLIANCE OFFICER4673623
STEARNS, TIMOTHY STEVENVP, COMPLIANCE OFFICER1327230
WIEDENHEFT, TERRIE ANNSENIOR VICE PRESIDENT AND CFO2619213
WITTMAN, SCOTT JOSEPHVP TAX7679752
WUEBBLING, DONALD JOSEPHDIRECTOR473438

Regulatory assets under management

Total Number of Accounts655
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.

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

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