JS
James R. Schleicher
W&S BROKERAGE SERVICES
Willoughby, OH 44094
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CRD#: 5192894
JS
Professional summary
James Ross Schleicher, ChFC®, who also goes by James R. Schleicher, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Willoughby, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 1 firm and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James R. Schleicher
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- WILLOUGHBY, OH- FULL TIME SALE AGENT /// IBB-WS LLC, RENTAL PROPERTY, OWNER, MONTHLY RENTAL INCOME./// TEAM IBB,LLC -LEADERSHIP & MOTIVATIONAL SPEAKING, COMMUNITY EVENTS- CO-OWNER/ CO-FOUNDER- NO COMPENSATION RECEIVED/// TEAM IBB, LLC- KIRTLAND, OH- PASSIVE INCOME, ONLINE BOOK PUBLISHED "IT STARTS WITH A PLAN"-NO- OWNER-2017-1-0-COMMISSION PER BOOK SOLD ONLINE-FILE TAX RETURN ONCE PER YEAR// IBB, INC.; NOT INVESTMENT RELATED; KIRKLAND, OH; OWNER; NO HOURS DEVOTED; CURRENTLY NOT AN ACTIVE BUSINESS; EXISTS IN NAME ONLY///Lake Erie College, Teacher Leadership essentials not investment related, 6/26/2023 12hrs per month ///TOMMY DEROIA FOUNDATION, AURORA OH, NON-PROFIT - FUNDRAISES & EDUCATION AWARENESS REGARDING ADDICTION, 03/24/24, 4HRS PER MONTH, NOT INVESTMENT RELATED, VOLUNTEER///
CRS (Client Relationship Summary) - RIA
Click below to view James Ross Schleicher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Ross Schleicher'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®
Experience
Current
September 10, 2018 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 4230 State Route 306 Suite 300, Willoughby, OH 44094Office #2: 6100 Oak Tree Blvd Suite 390, Independence, OH 44131RIA
BD
CRD#: 8099
Willoughby, OH
Current
June 25, 2008 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 4230 State Route 306 Suite 300, Willoughby, OH 44094Office #2: 6100 Oak Tree Blvd Suite 390, Independence, OH 44131RIA
BD
CRD#: 8099
Willoughby, 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
Alabama(1/12/2021)
IAR
Alabama(12/1/2022)
RR
Alaska(7/20/2021)
RR
Arizona(1/15/2019)
RR
California(5/7/2014)
IAR
California(6/10/2022)
RR
Colorado(8/9/2019)
RR
Connecticut(3/20/2023)
RR
Florida(2/4/2009)
IAR
Florida(4/28/2022)
RR
Georgia(5/18/2021)
RR
Idaho(5/6/2021)
RR
Illinois(7/14/2020)
RR
Indiana(10/13/2020)
RR
Kansas(2/21/2023)
RR
Maine(8/25/2023)
RR
Maryland(9/9/2020)
RR
Massachusetts(1/19/2022)
RR
Michigan(10/12/2015)
RR
New Jersey(10/25/2024)
IAR
New Jersey(10/28/2024)
RR
New Mexico(2/22/2022)
RR
New York(5/18/2021)
RR
North Carolina(5/16/2022)
IAR
North Carolina(1/10/2023)
RR
Ohio(6/25/2008)
IAR
Ohio(9/10/2018)
RR
Pennsylvania(2/3/2016)
RR
South Carolina(9/14/2021)
RR
Tennessee(6/26/2023)
RR
Texas(6/2/2014)
RR
Utah(1/28/2021)
RR
Virginia(10/17/2024)
IAR
Virginia(10/17/2024)
RR
West Virginia(5/22/2018)
IAR
West Virginia(5/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/25/2019
General Securities Representative ExaminationGeneral 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.
