Gregory M. Palichleb
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.
Gregory Michael Palichleb, who also goes by Greg Palichleb, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2002. Gregory had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2023 - November 5, 2024
W&S BROKERAGE SERVICES, INC.
February 1, 2017 - July 10, 2023
KEY INVESTMENT SERVICES LLC
November 18, 2015 - October 7, 2016
CETERA WEALTH SERVICES, LLC
November 17, 2015 - October 7, 2016
CETERA WEALTH SERVICES, LLC
October 2, 2013 - November 18, 2015
J.P. MORGAN SECURITIES LLC
October 2, 2013 - November 18, 2015
J.P. MORGAN SECURITIES LLC
October 29, 2012 - October 25, 2013
LPL FINANCIAL LLC
October 29, 2012 - October 25, 2013
LPL FINANCIAL LLC
October 1, 2012 - October 17, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 17, 2012
J.P. MORGAN SECURITIES LLC
November 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 11, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 1, 2006 - October 4, 2011
KEY INVESTMENT SERVICES LLC
March 4, 2006 - April 5, 2006
NATCITY INVESTMENTS, INC.
October 19, 2004 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
January 2, 2004 - August 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
November 26, 2002 - October 1, 2003
STATE FARM VP MANAGEMENT CORP.
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.
