Willoughby, OH 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
4230 State Route 306, Suite 300
Willoughby OH 44094
Advisors at this office
3
Advisors at this office
Garrett S
Series 63, Series 65
Willoughby, OH
W&S BROKERAGE Services, Inc.
Garrett Sparks is an advisor at W&S Brokerage Services, Inc. based in Willoughby, Ohio. He holds Series 63 and Series 65 licenses and has been with W&S Brokerage Services and Western & Southern Life since 2025. Prior to his current roles, he worked in various positions including at A&F Machinery and Cleveland Metroparks. 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 wrap-fee asset-allocation program built from model portfolios invested in mutual funds, ETFs, and money market funds, serving individuals, trusts, retirement plans, and other entities through a model-driven, discretionary allocation process.
Dominic P
Series 63, Series 65
Willoughby, OH
W&S BROKERAGE Services, Inc.
Dominic Piunno is a financial advisor at W&S Brokerage Services, Inc. He holds Series 63 and Series 65 designations and has one year of industry experience. His prior roles include work at Western & Southern Life and Baci Winery. 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 multiple risk profiles and investment objectives, combining brokerage, advisory, and insurance services within a distinctive business structure.
Michael C
Series 66
Willoughby, OH
W&S BROKERAGE Services, Inc.
Michael Cheslock is a Series 66 licensed financial advisor with 11 years of industry experience. He has worked at W&S Brokerage Services, Inc. since 2014 and also serves as a full-time sales agent at Western Southern Life since 2013. Outside of his advisory roles, Cheslock is president and board member of the Streetsboro Chamber of Commerce, where he volunteers in community networking activities without compensation. W&S Brokerage Services, Inc. is an SEC-registered investment adviser and FINRA-member broker-dealer that offers a wrap-fee asset allocation program with model-based, discretionary management. The firm serves individual clients and retirement plans, combining investment management with broker-dealer and insurance services across a broad branch network.
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