Cary, NC Office
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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.
Based on W&S BROKERAGE Services, Inc.
Location
1001 Winstead Drive, Suite 385
Cary NC 27513-2117
Advisors at this office
3
Advisors at this office
Christopher U
Series 66
Cary, NC
W&S BROKERAGE Services, Inc.
Christopher Ucles is a financial advisor at W&S Brokerage Services, Inc. He holds a Series 66 designation and has one year of industry experience. His prior work history includes roles at Western Southern Life, Equitable Advisors, LLC, and Deals On Wheels Inc. 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 utilizing affiliated and unaffiliated mutual funds, ETFs, and money market funds for individuals, trusts, retirement plans, and other clients.
Niccolo G
Series 66
Cary, NC
W&S BROKERAGE Services, Inc.
Niccolo Gonzales is a financial advisor at W&S Brokerage Services, Inc. with 23 years of industry experience. He holds the Series 66 credential and has worked at firms including Western & Southern Life, Cetera Wealth Services, and North Star Resource Group. Outside of his advisory role, he volunteers as a mentor for the Launch Morrisville program, supporting aspiring business owners. 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 featuring 25 portfolios tailored to various risk profiles and investment objectives, including socially conscious and tax-aware options.
Evan F
Series 66, Series 65, Series 63
Cary, NC
W&S BROKERAGE Services, Inc.
Evan Francis is a financial advisor at W&S Brokerage Services, Inc. with three years of industry experience. He holds Series 66, Series 65, and Series 63 registrations. His prior roles include positions at Western Southern Life, Florida Financial Advisors DBA Tristate Financial Advisors, Bankers Life, and TD Ameritrade. 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, and combines brokerage distribution, insurance-agent services, and affiliated sub-advisers to manage portfolios across multiple risk profiles and investment objectives.
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