Alberto E. Cristancho
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.
Alberto Enrique Cristancho was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 2006. Alberto had worked at 11 firms and has passed the SIE 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
November 3, 2020 - February 9, 2021
W&S BROKERAGE SERVICES, INC.
December 5, 2017 - December 6, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 13, 2015 - October 2, 2017
FORESTERS EQUITY SERVICES, INC.
May 11, 2015 - May 11, 2015
FORESTERS EQUITY SERVICES, INC.
February 27, 2015 - May 12, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 11, 2014 - March 4, 2015
EQUITABLE ADVISORS, LLC
May 7, 2013 - March 13, 2014
VALIC FINANCIAL ADVISORS, INC.
October 1, 2012 - May 9, 2013
J.P. MORGAN SECURITIES LLC
September 8, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 15, 2010 - June 24, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
September 13, 2007 - January 27, 2010
QUEST CAPITAL STRATEGIES, INC.
August 4, 2006 - August 30, 2007
PFS INVESTMENTS INC.
February 27, 2006 - June 14, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
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