W&S BROKERAGE SERVICES, INC.
Adviser information for W&S BROKERAGE SERVICES, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 85 |
|---|---|
| Investment Advisory/Research | 73 |
| Registered Broker-Dealer Representatives | 85 |
| Registered State Investment Advisers | 76 |
| Licensed Agents of an Insurance Company | 73 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 451 | $122.9M |
| Non-Discretionary | 0 | $0 |
| Total | 451 | $122.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 451 | $122.9M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 451 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 122.9M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Principal Office
400 BROADWAYCINCINNATI
OH
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 800-257-2135, Fax: None
Chief Compliance Officer
SHAWN SCOTT
AVP, COMPLIANCE
400 BROADWAY
CINCINNATI
OH
United States
Tel:
513-362-8438
S**********@*******************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY STEARNS
COMPLIANCE PRINCIPAL
400 BROADWAY
CINCINNATI
OH
United States
Tel:
513-362-8176
T**********@*******************M
(Full email address available in API data)
Industry Affiliates
| EAGLE REALTY CAPITAL PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FORT WASHINGTON INVESTMENT ADVISORS INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| TOUCHSTONE ADVISORS INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TOUCHSTONE SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANY | Domestic Entity | WESTERN-SOUTHERN LIFE ASSURANCE COMPANY | SHAREHOLDER | 10/1999 | > 75% |
| MCGRUDER, JILL TRIPP | Individual | – | DIRECTOR | 03/2015 | < 5% |
| WIEDENHEFT, TERRIE ANN | Individual | – | SENIOR VICE PRESIDENT AND CFO | 03/1999 | < 5% |
| WESTERN & SOUTHERN FINANCIAL GROUP, INC. | Domestic Entity | THE WESTERN AND SOUTHERN LIFE INSURANCE COMPANY | SHAREHOLDER | 09/2000 | > 75% |
| WESTERN & SOUTHERN MUTUAL HOLDING COMPANY, INC. | Domestic Entity | WESTERN & SOUTHERN FINANCIAL GROUP, INC. | SHAREHOLDER | 09/2000 | > 75% |
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | Domestic Entity | – | OWNER | 05/2001 | > 75% |
| LUEBBE, GREGORY MICHAEL | Individual | – | ASSISTANT VICE PRESIDENT | 10/2003 | < 5% |
| WUEBBLING, DONALD JOSEPH | Individual | – | DIRECTOR | 03/2015 | < 5% |
| BRODIE, TROY DALE | Individual | – | PRESIDENT | 04/2014 | < 5% |
| LOVELESS, MATTHEW WILLIAM | Individual | – | VP, STRATEGIC DEVELOPMENT AND OPERATIONS | 03/2015 | < 5% |
| DELUCA, JAMES JOSEPH | Individual | – | VP, MARKETING | 03/2015 | < 5% |
| STEARNS, TIMOTHY STEVEN | Individual | – | VP, COMPLIANCE OFFICER | 12/2021 | < 5% |
| HERRON, SARAH SPARKS | Individual | – | CORPORATE SECRETARY | 01/2015 | < 5% |
| NIEMEYER, JONATHAN DAVID | Individual | – | DIRECTOR | 01/2001 | < 5% |
| JOHNSON, JAY VINCENT | Individual | – | TREASURER | 05/2018 | < 5% |
| ANDERSON, JASON TODD | Individual | – | ASSISTANT TREASURER | 03/2020 | < 5% |
| SCOTT, SHAWN MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2021 | < 5% |
| WITTMAN, SCOTT JOSEPH | Individual | – | VP TAX | 12/2022 | < 5% |
| MOURNE, DOUGLAS EDWARD | Individual | – | AVP, BROKERAGE OPERATIONS | 05/2023 | < 5% |