JS
Joseph L. Sheffieck
W&S BROKERAGE SERVICES
Troy, MI 48098
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CRD#: 4893944
JS
Professional summary
Joseph Leo Sheffieck, who also goes by Joe Sheffieck, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Troy, Michigan.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Sheffieck
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-TROY, MI-FULL TIME SALES MANAGER/// Michigan Lacrosse Officials Association; Troy, MI; Position: Lacrosse official; Not Securities Related; Official; 10 hours a month, none during trading hours; compensation, game fees///
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Leo Sheffieck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Leo Sheffieck'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 27, 2020 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: Northfield Plaza 5700 Crooks Road, Suite 350, Troy, MI 48098Office #2: 17197 N Laurel Park Dr Ste 100, Livonia, MI 48152Office #3: 2900 Charlevoix Dr Se Ste 330, Grand Rapids, MI 49546-7049RIA
BD
CRD#: 8099
Troy, MI
Current
March 27, 2020 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: Northfield Plaza 5700 Crooks Road, Suite 350, Troy, MI 48098Office #2: 17197 N Laurel Park Dr Ste 100, Livonia, MI 48152Office #3: 2900 Charlevoix Dr Se Ste 330, Grand Rapids, MI 49546-7049RIA
BD
CRD#: 8099
Troy, MI
Past
March 23, 2015 - February 7, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SOUTHFIELD, MI
Past
September 9, 2013 - February 7, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SOUTHFIELD, MI
Past
July 12, 2011 - June 18, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SOUTHFIELD, MI
Past
May 22, 2008 - June 18, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
SOUTHFIELD, MI
Past
October 24, 2007 - April 7, 2008
INVESCOR WHOLESALE BD, INC.
BD
CRD#: 139828
FARMINGTON HILLS, MI
Past
April 11, 2005 - June 28, 2006
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
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
Florida(8/14/2023)
RR
Indiana(1/5/2024)
RR
Michigan(3/27/2020)
IAR
Michigan(3/27/2020)
RR
Ohio(9/29/2021)
RR
Texas(3/20/2023)
IAR
Texas(3/23/2023)
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.
