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W&S BROKERAGE SERVICES, INC.

CINCINNATI, OH · CRD 8099 · IAPD ↗ · 800-257-2135

$257.2MRegulatory AUM
86Advisory reps
114Employees
772Clients
n/aPlanning clients
0Private funds
34States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
September 2026 — W&S BROKERAGE SERVICES, INC. notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — W&S BROKERAGE SERVICES, INC. added office(s): 51 -> 69 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
67
April 2026 — W&S BROKERAGE SERVICES, INC. reported RAUM up 46% ($175.8M -> $257.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
83
April 2026 — W&S BROKERAGE SERVICES, INC. grew from 67 to 86 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
44
June 2025 — W&S BROKERAGE SERVICES, INC. notice-filed in MA, MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2025 — W&S BROKERAGE SERVICES, INC. shrank from 73 to 67 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
63
April 2025 — W&S BROKERAGE SERVICES, INC. reported RAUM up 43% ($122.9M -> $175.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
November 2024 — W&S BROKERAGE SERVICES, INC. notice-filed in NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
June 2024 — W&S BROKERAGE SERVICES, INC. notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2024 — W&S BROKERAGE SERVICES, INC. added office(s): 50 -> 57 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2024 — W&S BROKERAGE SERVICES, INC. reported RAUM up 128% ($53.8M -> $122.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
80
April 2024 — W&S BROKERAGE SERVICES, INC. grew from 56 to 73 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
February 2024 — W&S BROKERAGE SERVICES, INC. notice-filed in DE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.