Indianapolis, IN 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
8520 Allison Pointe Blvd, Suite 110
Indianapolis IN 46250
Advisors at this office
4
Advisors at this office
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.
Nicholas G
Series 65, Series 63
Indianapolis, IN
W&S BROKERAGE Services, Inc.
Nicholas Golgart is a financial advisor with W&S Brokerage Services, Inc. in Indianapolis, IN, holding Series 65 and Series 63 licenses and 11 years of industry experience. His prior work includes roles at Farmers Insurance Group and Farmers Financial Solutions LLC. 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 tailored to various risk profiles and investment objectives, combining brokerage distribution, insurance-agent services, and proprietary investment solutions.
Jonathan L
Series 63, Series 65
Indianapolis, IN
W&S BROKERAGE Services, Inc.
Jonathan Levine is a financial advisor at W&S Brokerage Services, Inc. in Indianapolis, IN, with 10 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Farmers Financial Solutions and Farmers Insurance Group. Outside of his financial career, Levine tutors elementary and middle school students in math. 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 through a network supported by affiliated sub-advisers and proprietary funds.
Kyle T
Series 63, Series 65
Indianapolis, IN
W&S BROKERAGE Services, Inc.
Kyle Thomas is a financial advisor with W&S Brokerage Services, Inc. in Indianapolis, IN, holding Series 63 and Series 65 licenses and bringing eight years of industry experience. His career includes roles at Western Southern Life, Pruco Securities, The Prudential Insurance Company of America, and Thrivent Financial. He also serves as a staff manager at Western Southern Life. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that offers a model-based, discretionary asset allocation program with 25 investment models. The firm serves individual clients, retirement plans, and institutional accounts, combining investment management with broker-dealer and insurance activities through a large branch network and proprietary affiliated funds.
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