Richard Dueringer
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.
Richard Dueringer, who also goes by Richard E Dueringer, Richard Edward Dueringer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 12 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6, Series 7, Series 5, PC, Series 000, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2014 - February 8, 2016
W&S BROKERAGE SERVICES, INC.
April 20, 2009 - May 4, 2009
RAYMOND JAMES & ASSOCIATES, INC.
April 20, 2009 - May 4, 2009
RAYMOND JAMES & ASSOCIATES, INC.
December 20, 2007 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2007 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2003 - January 16, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 31, 2003 - January 16, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 2, 2001 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
September 29, 1999 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
July 9, 1999 - October 5, 1999
CUNA BROKERAGE SERVICES, INC.
April 2, 1998 - September 25, 1998
OLD KENT FINANCIAL ADVISORS
September 11, 1991 - April 5, 1993
ROBERT W. BAIRD & CO. INCORPORATED
January 15, 1991 - September 17, 1991
RAFFENSPERGER, HUGHES & CO., INC.
April 11, 1988 - November 15, 1990
LEHMAN BROTHERS INC.
December 11, 1981 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - December 23, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 000
Date: 8/21/1974
General Securities Principal ExaminationSeries 1
Date: 8/21/1974
Registered Representative ExaminationSeries 12
Date: 2/20/1982
NYSE Branch Manager ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
