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Current Employers
W&S Brokerage Services, Inc.

400 Broadway, Cincinnati, OH 45202 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-03-07
  • MN RA
    APPROVED
    Since 2019-03-07

Branch Locations

400 Broadway 4Th Floor, Cincinnati, OH 45202 • United States

1700 West Highway 36 Suite 380, Roseville, MN 55113 • United States

775 Prairie Center Dr Ste 155, Eden Prairie, MN 55344 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Insurance Company Fargo ND 10/2003 11/2018
Nylife Securities Inc. Fargo ND 01/2004 11/2018
Eagle Strategies Llc Reno NV 04/2012 11/2018
Western Southern Life St. Paul MN 11/2018 Present
W&S Brokerage Services Cincinnati OH 12/2018 Present
  • 10/2003 → 11/2018
    New York Life Insurance Company
    Fargo, ND
  • 01/2004 → 11/2018
    Nylife Securities Inc.
    Fargo, ND
  • 04/2012 → 11/2018
    Reno, NV
  • 11/2018 → Present
    Western Southern Life
    St. Paul, MN
  • 12/2018 → Present
    W&S Brokerage Services
    Cincinnati, OH
Previous Registrations
Other Businesses

WESTERN SOUTHERN LIFE- NO- ST. PAUL, MN- FULL TIME AGENCY MANAGER/// [Minnetonka Youth Hockey; helping coach my sons squirt team for Minnetonka Youth Hockey. I will be on the ice three to four times a week for about an hour during the evening for practice and games.; 18313 Highway 7 Minnetonka, MN 55345; Start Date 10/2016; Role/Title: Volunteer; Not Investment Related; 15 hours per month; 0 hours per month during securities trading hours] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products.; 3600 Minnesota Drive, Suite 100 Edina, MN 55435; Start Date 04/2018; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] Youth hockey referee - Independent contractor, Chanhassen MN, 10-15hrs/month, $20-$30 per game compensation, Not securities related./// Rental Property -Chanhassen, MN representative renting out former residence through a property management company. Passive Rental income, Not securities related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-07-25
S63 Uniform Securities Agent State Law Examination 2004-03-24
  • S66 Uniform Combined State Law Examination
    2011-07-25
  • S63 Uniform Securities Agent State Law Examination
    2004-03-24

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