Cerritos, CA Office
TeamData 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.
Based on W&S BROKERAGE Services, Inc.
Location
17777 Center Court Drive, Suite 625
Cerritos CA 90703
Advisors at this office
3
Advisors at this office
Reginald V
Series 63, Series 65
Cerritos, CA
W&S BROKERAGE Services, Inc.
Reginald Venson is a financial advisor with W&S Brokerage Services, Inc. in Cerritos, CA, holding Series 63 and Series 65 licenses and eight years of industry experience. His prior roles include positions at Transamerica Financial Advisors, LPL Enterprise, and Prudential Insurance, among others. Outside of finance, he has worked as a Tai Chi instructor and fitness trainer since 1988. 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 wrap fee asset-allocation program serving individuals, trusts, and retirement plans, utilizing affiliated sub-advisers and proprietary funds, and incorporates tax-aware investment strategies within its portfolios.
Jane K
Series 66
Cerritos, CA
W&S BROKERAGE Services, Inc.
Jane Kwoun is a financial advisor with W&S Brokerage Services, Inc. in Cerritos, CA, holding a Series 66 designation and 20 years of industry experience. Her prior work includes roles at Pruco Securities, LLC, The Prudential Insurance Company of America, and the California Health Benefit Exchange Covered. She is also a full-time sales agent with Western & Southern Life. W&S Brokerage Services, Inc. is both an SEC-registered investment adviser and a FINRA-member broker-dealer that manages a model-based, discretionary wrap-fee asset allocation program serving individual clients as well as retirement and benefit plan accounts. The firm combines investment management with broker-dealer and insurance services, utilizing proprietary affiliated funds and a large branch network.
Daniel J
Series 66
Cerritos, CA
W&S BROKERAGE Services, Inc.
Daniel Jeong is a financial advisor at W&S Brokerage Services, Inc. with a Series 66 designation. He has held advisory and financial roles since 2017, including experience at Kim's Financial Solutions and JC&Company. 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, and retirement plans, utilizing multiple risk profiles and investment objectives including Socially Conscious and Tax Aware strategies.
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