RR
Richard K. Ryan
W&S BROKERAGE SERVICES
Roseville, MN 55113
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CRD#: 4678296
RR
Professional summary
Richard Keith Ryan is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Roseville, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
WESTERN SOUTHERN LIFE- NO- ST. PAUL, MN- FULL TIME AGENCY MANAGER/// [Minnetonka Youth Hockey; helping coach my sons squirt team for Minnetonka Youth Hockey. I will be on the ice three to four times a week for about an hour during the evening for practice and games.; 18313 Highway 7 Minnetonka, MN 55345; Start Date 10/2016; Role/Title: Volunteer; Not Investment Related; 15 hours per month; 0 hours per month during securities trading hours] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products.; 3600 Minnesota Drive, Suite 100 Edina, MN 55435; Start Date 04/2018; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] Youth hockey referee - Independent contractor, Chanhassen MN, 10-15hrs/month, $20-$30 per game compensation, Not securities related./// Rental Property -Chanhassen, MN representative renting out former residence through a property management company. Passive Rental income, Not securities related
CRS (Client Relationship Summary) - RIA
Click below to view Richard Keith Ryan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Keith Ryan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 7, 2019 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1700 West Highway 36 Suite 380, Roseville, MN 55113Office #2: 775 Prairie Center Dr Ste 155, Eden Prairie, MN 55344RIA
BD
CRD#: 8099
Roseville, MN
Current
December 13, 2018 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1700 West Highway 36 Suite 380, Roseville, MN 55113Office #2: 775 Prairie Center Dr Ste 155, Eden Prairie, MN 55344RIA
BD
CRD#: 8099
Roseville, MN
Past
April 19, 2012 - November 12, 2018
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
EDINA, MN
Past
March 8, 2004 - November 12, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDINA, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/28/2019)
RR
Georgia(2/11/2020)
RR
Indiana(10/16/2025)
RR
Minnesota(12/13/2018)
IAR
Minnesota(3/7/2019)
RR
North Dakota(2/28/2020)
RR
Oregon(10/16/2025)
RR
Washington(1/28/2019)
RR
Wisconsin(1/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
400 Broadway, Cincinnati, OH 45202
Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202
Phone number
(513) 629-1055
Established
Ohio since 05/21/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
95
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.
