Pittsburgh, PA 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
3 Penn Center West, Suite 340
Pittsburgh PA 15276
Advisors at this office
3
Advisors at this office
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.
Trang L
Series 63, Series 65
Pittsburgh, PA
W&S BROKERAGE Services, Inc.
Trang Le is a financial advisor at W&S Brokerage Services, Inc. with five years of industry experience. She holds Series 63 and Series 65 licenses and has worked at W&S Brokerage since 2021 and Western and Southern Life since 2020. Prior to her financial services career, she was involved in the salon and nail industry. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that manages a wrap-fee asset allocation program with 25 models invested in mutual funds, ETFs, and money market funds. The firm serves both institutional and individual clients using a model-based, discretionary investment process with Fort Washington Investment Advisors as sub-adviser.
Julie C
ChFC®, Series 63
Pittsburgh, PA
W&S BROKERAGE Services, Inc.
Julie Calhoun is a financial advisor with W&S Brokerage Services, Inc., holding the ChFC® designation and Series 63 license. She has 21 years of industry experience, working at Fort Washington Brokerage Services, Inc. since 2005 and at Western Southern Life since 2003, where she also serves as a full-time agent. 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 through its W&S Wealth Solutions platform, serving individuals, trusts, retirement plans, and other entities with a range of investment objectives and risk profiles.
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