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Employer firm

W&S Brokerage Services, Inc. CRD 8099

$257M regulatory AUM 772 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
W&S Brokerage Services, Inc.

400 Broadway, Cincinnati, OH 45202 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2024-11-19
IN RA APPROVED 2024-07-15
OH RA APPROVED 2023-08-01
  • KY RA
    APPROVED
    Since 2024-11-19
  • IN RA
    APPROVED
    Since 2024-07-15
  • OH RA
    APPROVED
    Since 2023-08-01

Branch Locations

909 Wright'S Summit Pkwy Suite 100, Fort Wright, KY 41017 • United States

3860 Race Rd Suite 105, Cincinnati, OH 45211 • 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
W&S Brokerage Services Cincinnati OH 04/2021 Present
Western And Southern Life Cincinnati OH 03/2021 Present
Ohio Unemployment Cincinnati OH 10/2020 03/2021
Department Of Commerce Cincinnati OH 08/2019 10/2020
Ohio Unemployment Cincinnati OH 03/2019 08/2019
American Red Cross Cincinnati OH 08/1997 03/2019
  • 04/2021 → Present
    W&S Brokerage Services
    Cincinnati, OH
  • 03/2021 → Present
    Western And Southern Life
    Cincinnati, OH
  • 10/2020 → 03/2021
    Ohio Unemployment
    Cincinnati, OH
  • 08/2019 → 10/2020
    Department Of Commerce
    Cincinnati, OH
  • 03/2019 → 08/2019
    Ohio Unemployment
    Cincinnati, OH
  • 08/1997 → 03/2019
    American Red Cross
    Cincinnati, OH
Other Businesses

Western and Southern Life-no (Cincinnati, OH) Full time sales agent// Hamilton County Board of Elections; not investment related; Cincinnnati, OH; Poll Worker; 11/2021; approx 14 hours per month with 3 during trading hours two times per year for election cycles; issuing ballots, monitoring/set up of voting equipment, and closing polls// 2022 - Greater Harrison Rotary, weekly meetings to discuss topics in community and organize events that would benefit kids, 5 hours a month/// Harrison Mayor's Community Fund, Harrison OH, Board Member, 01/02/2023, 1 hour per month, Volunteer///All Choices Matter, Presenter, Financial Literacy to High School Students, Not Securities Related, No Compensation

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-01
S63 Uniform Securities Agent State Law Examination 2021-08-09
  • S65 Uniform Investment Adviser Law Examination
    2023-08-01
  • S63 Uniform Securities Agent State Law Examination
    2021-08-09
Other Names
  • Tammy Baumann
  • Tammy Sanders
  • Tamara Renee Simendinger

View on SEC IAPD

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