SW
Shawn T. Williams
W&S BROKERAGE SERVICES
Cary, NC 27513-2117
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CRD#: 5240748
SW
Professional summary
Shawn Thomas Williams is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Cary, North Carolina.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Shawn has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 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.
W&S Life -NO- Cary, NC - Full-time sales agent
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Thomas Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Thomas Williams'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
January 26, 2022 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1001 Winstead Drive Suite 385, Cary, NC 27513-2117RIA
BD
CRD#: 8099
Cary, NC
Current
December 6, 2021 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 1001 Winstead Drive Suite 385, Cary, NC 27513-2117RIA
BD
CRD#: 8099
Cary, NC
Past
April 20, 2020 - October 5, 2021
LEMUEL JAMES FINANCIAL
RIA
CRD#: 162212
Durham, NC
Past
May 19, 2016 - August 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CARY, NC
Past
May 19, 2016 - August 28, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARY, NC
Past
October 26, 2015 - December 28, 2015
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Durham, NC
Past
June 17, 2015 - February 24, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
DURHAM, NC
Past
March 31, 2015 - February 24, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
DURHAM, NC
Past
April 2, 2009 - August 10, 2012
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DURHAM, NC
Past
March 17, 2009 - August 10, 2012
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DURHAM, NC
Past
January 19, 2007 - March 3, 2009
EDWARD JONES
RIA
CRD#: 250
HOUSTON, TX
Past
December 14, 2006 - March 3, 2009
EDWARD JONES
BD
CRD#: 250
HOUSTON, TX
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
Georgia(9/19/2022)
RR
North Carolina(1/26/2022)
IAR
North Carolina(1/26/2022)
RR
Texas(3/2/2022)
IAR
Texas(9/13/2023)
RR
West Virginia(9/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
W&S BROKERAGE SERVICES, INC.
CRD#: 8099Cary, NC 27513-2117TRUST BUT VERIFY
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