Jeffrey L. Ingram
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.
Jeffrey Lee Ingram was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1997. Jeffrey had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2014 - April 6, 2015
W&S BROKERAGE SERVICES, INC.
February 11, 2011 - December 20, 2013
MUTUAL OF AMERICA SECURITIES LLC
February 11, 2011 - December 20, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 26, 2010 - January 19, 2011
TD AMERITRADE, INC.
April 26, 2010 - January 19, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 24, 2009 - January 19, 2011
TD AMERITRADE, INC.
October 20, 2005 - February 23, 2009
ALLSTATE FINANCIAL SERVICES, LLC
February 10, 2004 - September 22, 2005
NATIONWIDE SECURITIES, LLC
May 23, 2003 - October 21, 2003
VALIC FINANCIAL ADVISORS, INC.
December 4, 2002 - May 15, 2003
1717 CAPITAL MANAGEMENT COMPANY
May 2, 2001 - November 1, 2002
METROPOLITAN LIFE INSURANCE COMPANY
May 2, 2001 - November 1, 2002
MSI FINANCIAL SERVICES, INC.
January 1, 1997 - April 27, 2001
IDS LIFE INSURANCE COMPANY
January 1, 1997 - April 27, 2001
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.
