W&S BROKERAGE Services, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. It offers the W&S Wealth Solutions wrap fee asset-allocation program—built from 25 model portfolios invested in affiliated and unaffiliated mutual funds, ETFs and money market funds—and also provides brokerage distribution and insurance-agent services to individuals, trusts, retirement plans and other entities.
The firm uses a model-driven, discretionary allocation process administered with an affiliated sub-adviser, Fort Washington Investment Advisors, that maps clients to one of five risk profiles and five investment objectives (including Socially Conscious, Tax Aware and EnFocus). Portfolios are monitored at least quarterly and rebalanced to target bands (±2.5% generally, ±5% for Tax Aware), and the program includes specific tax-aware practices such as using ETFs to bridge accounts funded late in the year and a client-directed tax-loss harvesting process in November–December.
W&SBS’s structure combines uncommon features for an investment manager: it both sponsors a wrap-fee program and operates in a broker-dealer capacity while its advisors also hold insurance licenses and sell affiliated Touchstone mutual funds, reflecting its ownership by an insurance group. The firm’s use of affiliated sub-advisers and proprietary funds, its compensation and referral arrangements between advisory and brokerage roles, and its operation through an extensive branch network distinguish its business model from many peers.
Client services
Expertise
Fee options
$0 - $250,000: 1.50% annually $250,001 - $500,000: 1.40% annually $500,001 - $750,000: 1.30% annually $750,001+: 1.10% annually
Account minimum: $250,000 Minimum fee: Minimum quarterly fee of $500 for most Investment Objectives; $250 for EnFocus™; $75 for Companion Account with EnFocus™ Fee-only: W&S Wealth Solutions Fee is asset-based with no commissions on program assets
Main office
See office400 Broadway
Cincinnati OH 45202
Advisors at this office
10
Offices (40)
Cincinnati, OH 400 Broadway
400 Broadway, Cincinnati, OH 45202
10 advisors
Findlay, OH
Riverview Building 1000 East Main Crross, Suite 103, Findlay, OH 45840
6 advisors
Daniel Island, SC
115 Central Island Street Suite 190, Daniel Island, SC 29492-7320
4 advisors
Fort Wright, KY
909 Wright's Summit Pkwy Suite 100, Fort Wright, KY 41017
4 advisors
Indianapolis, IN
8520 Allison Pointe Blvd Suite 110, Indianapolis, IN 46250
4 advisors
Most active in
Alabama · Arizona · California · Colorado · Delaware · District of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Jersey · New Mexico · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Washington · West Virginia · Wisconsin
Also doing business as
Countrywide Investments, Inc. · Fort Washington Brokerage Services, Inc. · Ft. Washington Brokerage Services, Inc. · Robert H. Leshner & Co., Inc. · W&S Brokerage Services, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Cannon G
Verified by Warmer
Series 65
Lafayette, LA
W&S BROKERAGE Services, Inc.
Cannon Glass is an advisor at W&S Brokerage Services, Inc. with a Series 65 credential and no prior industry experience. His work history includes roles across various sectors such as banking, retail, and food service before joining W&S Brokerage Services and Western & Southern Life in 2026. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary allocation process through its W&S Wealth Solutions wrap fee program, serving individuals, trusts, retirement plans, and other entities with investment options including affiliated and unaffiliated mutual funds and ETFs.
Stacy W
ChFC®, Series 63
Westlake, TX
W&S BROKERAGE Services, Inc.
Stacy Wasserman is a financial advisor at W&S Brokerage Services, Inc. with 18 years of industry experience. She holds the ChFC® designation and Series 63 license. Prior to her current role, she worked at AllState Insurance Company and State Farm Insurance. Wasserman serves as President of the local chapter of Women in Insurance & Financial Services, a national organization supporting female financial professionals. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that offers a model-based, discretionary wrap-fee asset allocation program. The firm serves individual clients as well as retirement and benefit plan accounts, utilizing a combined quantitative and qualitative due-diligence process and offers proprietary affiliated funds through its Western & Southern Financial Group affiliates.
Dawson J
Series 66
Hickory, NC
W&S BROKERAGE Services, Inc.
Dawson Johnson is a financial advisor at W&S Brokerage Services, Inc. with one year of industry experience. He holds a Series 66 designation and has worked at firms including Western & Southern Life, Equitable Advisors, and New York Life Insurance. Outside of finance, he has also worked as a bartender with Homesteads Events. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary asset allocation program serving individuals, trusts, retirement plans, and other entities, using affiliated sub-advisers and a combination of mutual funds, ETFs, and money market funds.
Scott B
Series 66
Dover, OH
W&S BROKERAGE Services, Inc.
Scott Beal is a financial advisor with W&S Brokerage Services, Inc. in Canton, Ohio, holding a Series 66 designation and seven years of industry experience. Prior to joining W&S Brokerage Services in 2019, he worked at Edward Jones from 2010 to 2019 and was involved with Performance Foods dba Long John Silver's from 2010 to 2018. He also serves as a full-time sales agent with Western Southern Life. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that offers a wrap-fee asset allocation program with model-based, discretionary management. The firm serves individual clients and various retirement and benefit plans, utilizing a combined quantitative and qualitative due diligence process and sub-advisory support from Fort Washington Investment Advisors.
David A
ChFC®, Series 63, Series 65
Orland Park, IL
W&S BROKERAGE Services, Inc.
David Adamson is a financial advisor with W&S Brokerage Services, Inc. in Orland Park, Illinois, holding the ChFC® designation and Series 63 and 65 licenses. He has 28 years of industry experience and has been with W&S Brokerage Services and Western Southern Life since 2014, where he also serves as a full-time sales manager. W&S Brokerage Services, Inc. operates as both an SEC-registered investment adviser and a FINRA-member broker-dealer, offering a wrap-fee asset allocation program with 25 model portfolios that include a mix of affiliated and unaffiliated mutual funds, ETFs, and money market funds. The firm serves individual clients as well as retirement and benefit plan accounts, employing a model-based, discretionary investment process with strategic and tactical asset allocations managed by Fort Washington Investment Advisors.
Brian W
Series 63, Series 65
Fort Wright, KY
W&S BROKERAGE Services, Inc.
Brian Witherby is a financial advisor with W&S Brokerage Services, Inc. in Cincinnati, Ohio, holding Series 63 and Series 65 licenses with 12 years of industry experience. He has worked at W&S Brokerage Services since 2013 and also serves as a full-time sales agent at Western Southern Life. Additionally, he facilitates courses for the Financial Services Certified Professional designation through The American College of Financial Services. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that manages a model-based, discretionary wrap-fee asset allocation program. The firm serves individual clients, retirement plans, and institutional accounts, employing a combined quantitative and qualitative due-diligence process with strategic sub-advisory support from Fort Washington Investment Advisors.
Jayna T
Series 65
Cincinnati, OH
W&S BROKERAGE Services, Inc.
Jayna Thompson is a financial advisor with W&S Brokerage Services, Inc. in Cincinnati, OH. She holds a Series 65 designation and has been active in the financial services industry since 2024, following several years in academic and legal education roles. W&S Brokerage Services, Inc. is a dually registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary asset allocation program with multiple risk profiles and investment objectives, serving individuals, trusts, retirement plans, and other entities.
Leshawn P
Series 66
Independence, OH
W&S BROKERAGE Services, Inc.
Leshawn Powers is a financial advisor with W&S Brokerage Services, Inc., holding a Series 66 designation and 16 years of industry experience. His prior roles include positions at Western Southern Life, The Huntington Investment Company, and LPL Financial. Outside of finance, he owns a cleaning service, which he manages on a limited basis. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer offering a wrap-fee asset allocation program with model-based, discretionary management. The firm serves individual clients as well as retirement and benefit plan accounts, utilizing a combined quantitative and qualitative due diligence process to select funds and managers.
Phillip W
Series 65, Series 63
Asheville, NC
W&S BROKERAGE Services, Inc.
Phillip West is a financial advisor with W&S Brokerage Services, Inc. in Asheville, NC. He holds Series 65 and Series 63 licenses and has seven years of industry experience, including roles at W&S Brokerage Services and Western Southern Life. He is also a full-time sales agent at Western Southern Life. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary asset allocation program covering a range of risk profiles and investment objectives, serving individuals, trusts, retirement plans, and other entities through a combination of advisory, brokerage, and insurance services.
Sarah E
Series 65, Series 63
Pittsburgh, PA
W&S BROKERAGE Services, Inc.
Sarah Enis is a financial advisor with W&S Brokerage Services, Inc. in Pittsburgh, PA, holding Series 65 and Series 63 registrations and seven years of industry experience. She has worked with W&S Brokerage Services and Western Southern Life since 2019 and was previously with Lobos Management from 2014 to 2019. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary wrap fee asset-allocation program with portfolios monitored and rebalanced regularly, serving individuals, trusts, retirement plans, and other entities.
Adam L
Series 63, Series 65
Tampa, FL
W&S BROKERAGE Services, Inc.
Adam Locascio is a financial advisor with W&S Brokerage Services, Inc. in Tampa, FL, holding Series 63 and Series 65 licenses and bringing 23 years of industry experience. His career includes roles at Western & Southern Life, Cetera Advisors, Waddell & Reed Inc., and Valic Financial Advisors. He is also a full-time sales agent with Western Southern Life. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers the W&S Wealth Solutions wrap fee asset-allocation program, which uses a model-driven, discretionary allocation process tailored to clients’ risk profiles and investment objectives.
Joseph H
Series 63, Series 65
Troy, MI
W&S BROKERAGE Services, Inc.
Joseph Hanna is a financial advisor with W&S Brokerage Services, Inc. in Troy, MI, holding Series 63 and Series 65 licenses and 20 years of industry experience. He has worked at W&S Brokerage Services since 2007 and is also a full-time agent at Western Southern Life, a role he has held since 2000. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that manages a wrap-fee asset allocation program featuring 25 model portfolios invested in mutual funds, ETFs, and money market funds. The firm serves individual clients as well as retirement and benefit plan accounts, using a model-based, discretionary investment process with Fort Washington Investment Advisors as sub-adviser.
George K
ChFC®, Series 63
Houston, TX
W&S BROKERAGE Services, Inc.
George Kay is a ChFC® credentialed financial advisor with 40 years of industry experience. He is currently with W&S Brokerage Services, Inc. and Western & Southern Life, where he holds the position of Divisional Vice President. Prior to this, he worked at Nylife Securities Inc. and New York Life Insurance for 24 years. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that offers the W&S Wealth Solutions wrap-fee asset allocation program. The firm serves individual clients, retirement plans, and institutional accounts using a model-based, discretionary investment process supported by sub-adviser Fort Washington Investment Advisors.
Renee D
Series 66
Grand Rapids, MI
W&S BROKERAGE Services, Inc.
Renee De Haan is a financial advisor at W&S Brokerage Services, Inc. with three years of industry experience. She holds the Series 66 designation and has worked at firms including Western and Southern Life, NYLIFE Securities LLC, Principal Securities, and Equitable Advisors, LLC. Her background also includes roles outside financial services, such as contributing to Start Up Grind and working at Davenport University. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary asset allocation program with multiple risk profiles and investment objectives, combining brokerage, advisory, and insurance services within an extensive branch network.
Donald J
Series 63, Series 65
Indianapolis, IN
W&S BROKERAGE Services, Inc.
Donald James is an advisor at W&S Brokerage Services, Inc. with three years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at Thrivent Financial and Monarch Distributing. W&S Brokerage Services, Inc. is a dually-registered broker-dealer and SEC-registered investment adviser affiliated with Western & Southern Financial Group. The firm offers a model-driven, discretionary asset-allocation program that serves individuals, trusts, and retirement plans, combining brokerage, advisory, and insurance services within a proprietary investment framework.
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