Reginald J. Lapiere
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.
Reginald James Lapiere, who also goes by Reggie Lapiere, Reginald James Lapiere Sr, was a registered financial professional .
Reginald is a previously registered financial professional and started their career in finance in 1977. Reginald had worked at 10 firms and has passed the Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2013 - September 9, 2013
W&S BROKERAGE SERVICES, INC.
May 15, 2008 - July 21, 2011
NYLIFE SECURITIES LLC
November 7, 2006 - April 23, 2008
VALIC FINANCIAL ADVISORS, INC.
April 13, 2005 - November 7, 2006
ALLSTATE FINANCIAL SERVICES, LLC
June 22, 2004 - April 8, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 2004 - April 8, 2005
MSI FINANCIAL SERVICES, INC.
August 27, 2001 - June 28, 2004
ALLSTATE FINANCIAL SERVICES, LLC
May 1, 2000 - August 30, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
August 20, 1999 - July 24, 2000
ALLSTATE FINANCIAL SERVICES, LLC
September 5, 1995 - June 4, 1999
METROPOLITAN LIFE INSURANCE COMPANY
September 5, 1995 - June 4, 1999
MSI FINANCIAL SERVICES, INC.
February 9, 1993 - July 24, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 9, 1993 - July 24, 1995
SIGNATOR INVESTORS, INC.
November 11, 1991 - November 23, 1992
MML INVESTORS SERVICES, LLC
June 28, 1989 - November 25, 1991
MSI FINANCIAL SERVICES, INC.
January 3, 1977 - November 25, 1991
METROPOLITAN LIFE INSURANCE COMPANY
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 1
Date: 12/16/1976
Registered Representative 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.
