Jerry W. Ernst
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.
Jerry Webb Ernst, who also goes by Jerry W Ernst, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1995. Jerry had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2019 - July 20, 2020
W&S BROKERAGE SERVICES, INC.
July 21, 2015 - July 20, 2020
W&S BROKERAGE SERVICES, INC.
August 11, 2014 - July 2, 2015
SECURITIES AMERICA ADVISORS, INC.
August 11, 2014 - July 2, 2015
SECURITIES AMERICA, INC.
April 25, 2014 - August 19, 2014
OSAIC FS, INC.
April 25, 2014 - August 19, 2014
OSAIC FS, INC.
May 3, 2011 - May 2, 2014
EAGLE STRATEGIES LLC
April 7, 2011 - May 2, 2014
NYLIFE SECURITIES LLC
June 20, 2008 - March 23, 2011
EQUITABLE ADVISORS, LLC
June 20, 2008 - March 23, 2011
EQUITABLE ADVISORS, LLC
October 30, 2003 - June 11, 2008
EAGLE STRATEGIES LLC
November 9, 2000 - June 6, 2008
NYLIFE SECURITIES LLC
September 14, 1998 - November 2, 2000
PRINCIPAL SECURITIES, INC.
January 28, 1997 - September 14, 1998
EQUITY SERVICES, INC.
April 25, 1996 - January 15, 1997
WADDELL & REED
September 25, 1995 - April 29, 1996
IDS LIFE INSURANCE COMPANY
September 25, 1995 - April 29, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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.
