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Chhaychea La

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CRD#: 6047395
CL

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.

Chhaychea La, who also goes by Chhaychea Kevin La, Kevin La, was a registered financial professional .

Chhaychea is a previously registered financial professional and started their career in finance in 2013. Chhaychea had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chhaychea Kevin La | Kevin La

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 11, 2014 - January 25, 2016

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
Covina, CA
Past

July 30, 2013 - April 29, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALHAMBRA, CA
Past

March 13, 2013 - April 29, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
ALHAMBRA, CA

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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/29/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2013
General Securities Representative Examination

Current Firm

W&S BROKERAGE SERVICES, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

W&S WEALTH SOLUTIONS BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WESTERN AND SOUTHERN LIFE ASSURANCE COMPANYOWNER
BRODIE, TROY DALEPRESIDENT1924559
DELUCA, JAMES JOSEPHVP, MARKETING5420948
HERRON, SARAH SPARKSCORPORATE SECRETARY6905684
JOHNSON, JAY VINCENTTREASURER6607547
LOVELESS, MATTHEW WILLIAMVP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION5657647
LUEBBE, GREGORY MICHAELASSISTANT VICE PRESIDENT2924719
MCGRUDER, JILL TRIPPDIRECTOR1221720
MOURNE, DOUGLAS EDWARDAVP, BROKERAGE OPERATIONS2999021
NIEMEYER, JONATHAN DAVIDDIRECTOR5863603
SCOTT, SHAWN MICHAELCHIEF COMPLIANCE OFFICER4673623
STEARNS, TIMOTHY STEVENVP, COMPLIANCE OFFICER1327230
WIEDENHEFT, TERRIE ANNSENIOR VICE PRESIDENT AND CFO2619213
WITTMAN, SCOTT JOSEPHVP TAX7679752
WUEBBLING, DONALD JOSEPHDIRECTOR473438

Regulatory assets under management

Total Number of Accounts655
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.

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

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