Edward J. Sears
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.
Edward J Sears, who also goes by Ed Sears, Edward J Sears, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1996. Edward had worked at 17 firms and has passed the Series 65, Series 63, 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
March 28, 2022 - October 6, 2022
W&S BROKERAGE SERVICES, INC.
December 11, 2019 - May 7, 2020
STATE FARM VP MANAGEMENT CORP.
September 26, 2019 - October 25, 2019
EQUITABLE ADVISORS, LLC
September 19, 2019 - October 25, 2019
EQUITABLE ADVISORS, LLC
January 3, 2017 - September 22, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
October 24, 2014 - October 2, 2015
ALLSTATE FINANCIAL SERVICES, LLC
April 24, 2014 - October 14, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
June 19, 2012 - March 18, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
June 19, 2012 - March 18, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 28, 2011 - May 14, 2012
WADDELL & REED
May 2, 2011 - May 14, 2012
WADDELL & REED
February 16, 2010 - May 3, 2011
BANCWEST INVESTMENT SERVICES, INC.
February 11, 2010 - May 3, 2011
BANCWEST INVESTMENT SERVICES, INC.
August 13, 2009 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
July 23, 2009 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
December 7, 2005 - June 22, 2009
WELLS FARGO INVESTMENTS, LLC
December 7, 2005 - June 22, 2009
WELLS FARGO INVESTMENTS, LLC
September 29, 2004 - December 2, 2005
CETERA INVESTMENT SERVICES LLC
September 29, 2004 - December 2, 2005
CETERA INVESTMENT SERVICES LLC
July 2, 2004 - October 6, 2004
MUTUAL SERVICE CORPORATION
April 15, 2004 - October 6, 2004
MUTUAL SERVICE CORPORATION
January 24, 2002 - March 18, 2003
EDWARD JONES
November 8, 1999 - June 6, 2000
A. G. EDWARDS & SONS, INC.
October 19, 1999 - November 5, 1999
CITIGROUP GLOBAL MARKETS INC.
July 6, 1998 - November 5, 1999
ZIONS DIRECT, INC.
September 6, 1996 - July 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
