Amy W. Brogden
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.
Amy Woodard Brogden, who also goes by Amy L Brogden, Amy Woodard Cannady, Amy Lynn Stokes, Amy L Woodard, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2001. Amy had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2019 - July 22, 2020
W&S BROKERAGE SERVICES, INC.
September 25, 2019 - July 22, 2020
W&S BROKERAGE SERVICES, INC.
June 12, 2018 - September 11, 2019
BB&T SECURITIES, LLC
June 12, 2018 - September 11, 2019
BB&T SECURITIES, LLC
February 16, 2017 - June 21, 2018
MORGAN STANLEY
May 17, 2013 - June 21, 2018
MORGAN STANLEY
March 8, 2006 - January 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 12, 2003 - March 9, 2005
LPL FINANCIAL LLC
July 1, 2002 - June 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - June 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 14, 2001 - June 21, 2002
WACHOVIA SECURITIES, INC.
April 5, 2001 - June 15, 2002
WACHOVIA SECURITIES, 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.
