Greg Boudon
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.
Greg Boudon, who also goes by Greg Boudon, R Gregory Boudon, Robert Gregory Boudon, Robert Greg Boudon, Robert Gregory Boudon, was a registered financial professional .
Greg is a previously registered financial professional and started their career in finance in 2000. Greg had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2018 - August 6, 2018
W&S BROKERAGE SERVICES, INC.
April 25, 2017 - January 8, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
March 12, 2015 - March 24, 2017
MSI FINANCIAL SERVICES, INC.
November 13, 2014 - March 24, 2017
MSI FINANCIAL SERVICES, INC.
June 17, 2009 - November 13, 2014
NYLIFE SECURITIES LLC
May 12, 2008 - March 19, 2009
FIFTH THIRD SECURITIES, INC.
May 12, 2008 - March 19, 2009
FIFTH THIRD SECURITIES, INC.
April 17, 2006 - November 29, 2007
NATCITY INVESTMENTS, INC.
April 17, 2006 - November 29, 2007
NATCITY INVESTMENTS, INC.
August 30, 2001 - March 27, 2006
AMFIN INVESTMENT SERVICES, INC.
October 10, 2000 - March 27, 2006
AMFIN INVESTMENT SERVICES, INC.
February 8, 2000 - October 4, 2000
MORGAN STANLEY DW 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.
