Westlake, TX 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
1301 Solana Blvd, Building 1, Suite 1529
Westlake TX 76262
Advisors at this office
3
Advisors at this office
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.
Murtaza R
Series 63, Series 66
Westlake, TX
W&S BROKERAGE Services, Inc.
Murtaza Rizvi is a financial advisor with W&S Brokerage Services, Inc. and Western and Southern Life, holding Series 63 and Series 66 credentials with two years of industry experience. His prior work includes roles at TD Ameritrade and self-employment, as well as running Mochio Donut for four years. W&S Brokerage Services, Inc. is a dually registered SEC investment adviser and FINRA-member broker-dealer that offers a model-based, discretionary investment program serving individual clients, retirement plans, and institutional accounts. The firm integrates investment management with broker-dealer and insurance activities, sponsoring a wrap-fee asset allocation program featuring both affiliated and unaffiliated funds.
Benjamin W
Series 66
Westlake, TX
W&S BROKERAGE Services, Inc.
Benjamin Wallace is a Series 66-credentialed financial advisor with 24 years of industry experience. He has worked at firms including Wells Fargo Clearing, J.P. Morgan Securities, Chase Investment Services, and Merrill. He is currently with W&S Brokerage Services, Inc. and also serves as a full-time sales agent for 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 with tax-aware and socially conscious options, serving individuals, trusts, retirement plans, and other entities.
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