Carol Ann Miller
Professional Summary
Carol Ann Miller, who also goes by Carol Ann Shappelle, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio. Carol is registered as a RR (Registered Representative) and started their career in finance in 2003. Carol has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Ann Shappelle
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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CAPITAL ADVISORY SERVICES, LLC
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Disclosures on record.
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.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
Contact Information
Main Address
400 Broadway, Cincinnati, OH 45202Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202Phone Number
(513) 629-1055Established
Ohio since 05/21/1974Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
114SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
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 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MASTERS, JOSHUA | ASSISTANT VICE PRESIDENT | 7671731 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| RENNERS, TYLER SCOTT | SECRETARY | 8246902 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO, TREASURER | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory Assets Under Management
Total Number of Accounts
963AUM (Assets Under Management)
$257,179,879Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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CAPITAL ADVISORY SERVICES, LLC
Primary Firm SEC Registration
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
(9/16/2021)
(3/21/2022)
(3/21/2022)
(4/27/2020)
(5/25/2004)
(1/12/2022)
(9/16/2021)
(3/21/2022)
(3/21/2022)
(6/1/2004)
(1/4/2017)
(1/12/2022)
(9/16/2021)
(5/26/2004)
(5/27/2004)
(9/16/2021)
(3/21/2022)
(5/26/2004)
(6/2/2004)
(3/21/2022)
(8/9/2021)
(2/27/2020)
(5/27/2004)
(10/21/2016)
(3/21/2022)
(5/26/2004)
(3/21/2022)
(3/21/2022)
(9/16/2021)
(11/30/2021)
(7/12/2021)
(3/21/2022)
(6/6/2022)
(5/26/2004)
(3/21/2022)
(8/22/2003)
(5/24/2021)
(3/9/2018)
(5/26/2004)
(3/21/2022)
(3/21/2022)
(6/3/2020)
(3/21/2022)
(9/16/2021)
(6/21/2004)
(10/6/2021)
(3/21/2022)
(9/16/2021)
(3/17/2022)
(3/21/2022)
(3/21/2022)
(3/21/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2003About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Miller's CRS (Customer Relationship Summary).
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