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400 Broadway, Cincinnati, OH 45202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-11-02 |
| NC | RA | APPROVED | 2023-01-19 |
Branch Locations
1001 Winstead Drive Suite 385, Cary, NC 27513-2117 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western & Southern | Cary | NC | 11/2022 | Present |
| Legacy Wealth Strategies | Raleigh | NC | 07/2021 | 11/2022 |
| W&S Brokerage Services | Cincinnati | OH | 12/2022 | Present |
| Hajoca Corporation | Raleigh | NC | 02/2013 | 07/2021 |
Western & Southern - No - Cary, NC - Full Time Sales Agent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 2020-12-16 |
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