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Donald James

W&S Brokerage Services, Inc.

Indianapolis, IN

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Current Employers
W&S Brokerage Services, Inc.

400 Broadway, Cincinnati, OH 45202 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2026-07-08
  • IN RA
    APPROVED
    Since 2026-07-08

Branch Locations

8520 Allison Pointe Blvd Suite 110, Indianapolis, IN 46250 • 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
Monarch Distributing Indianapolis IN 07/2012 04/2023
Thrivent Investment Management Inc. Carmel IN 12/2022 06/2026
Thrivent Financial Appleton WI 04/2023 11/2023
Thrivent Financial Appleton WI 11/2023 06/2026
Western Southern Life Indianapolis IN 07/2026 Present
W & S Brokerage Services, Inc Indianapolis IN 07/2026 Present
  • 07/2012 → 04/2023
    Monarch Distributing
    Indianapolis, IN
  • 12/2022 → 06/2026
    Thrivent Investment Management Inc.
    Carmel, IN
  • 04/2023 → 11/2023
    Thrivent Financial
    Appleton, WI
  • 11/2023 → 06/2026
    Thrivent Financial
    Appleton, WI
  • 07/2026 → Present
    Western Southern Life
    Indianapolis, IN
  • 07/2026 → Present
    W & S Brokerage Services, Inc
    Indianapolis, IN
Previous Registrations
Other Businesses

Western Southern Life -NO- Indianapolis, IN - Full Time Sales Agent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-21
S63 Uniform Securities Agent State Law Examination 2023-06-30
  • S65 Uniform Investment Adviser Law Examination
    2025-04-21
  • S63 Uniform Securities Agent State Law Examination
    2023-06-30

View on SEC IAPD

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Lucy L Gilmore
AARON JAMES PETTERSEN
HOLLY MARIE WHARTON

Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

More in Indianapolis, IN

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