LP
Leshawn M. Powers
W&S BROKERAGE SERVICES
Independence, OH 44131
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CRD#: 5452089
LP
Professional summary
Leshawn Maurice Powers, who also goes by Leshaun Maurice Powers, Leshawn Maurice Powers, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Independence, Ohio.
Leshawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Leshawn has worked at 6 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leshaun Maurice Powers | Leshawn Maurice Powers
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- INDEPENDENCE, OH- FULL TIME SALES MANAGER /// 2-2023, Owner of his own cleaning service, 8 hours a month and not during security hours ///
CRS (Client Relationship Summary) - RIA
Click below to view Leshawn Maurice Powers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leshawn Maurice Powers'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 10, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 6100 Oak Tree Blvd Suite 390, Independence, OH 44131RIA
BD
CRD#: 8099
Independence, OH
Current
January 19, 2023 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 6100 Oak Tree Blvd Suite 390, Independence, OH 44131RIA
BD
CRD#: 8099
Independence, OH
Past
June 11, 2018 - October 14, 2021
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
Akron, OH
Past
June 11, 2018 - October 14, 2021
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
Akron, OH
Past
August 22, 2017 - May 23, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
BEACHWOOD, OH
Past
August 21, 2017 - May 23, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
BEACHWOOD, OH
Past
November 7, 2014 - June 28, 2017
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
EUCLID, OH
Past
November 6, 2014 - June 28, 2017
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
EUCLID, OH
Past
October 1, 2012 - October 27, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
AKRON, OH
Past
October 1, 2012 - October 27, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
AKRON, OH
Past
March 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
AKRON, OH
Past
July 4, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
AKRON, 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
IAR
Ohio(1/10/2023)
RR
Ohio(1/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/19/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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.
