# W&S Brokerage Services

W&S Brokerage Services is a Bank / Wealth / Trust based in Cincinnati, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Cincinnati, United States
- **Region:** North America
- **Address:** Cincinnati, OH, United States
- **Assets under management:** Undisclosed
- **Website:** wsbrokerage.com

## Regulatory record

- **CRD number:** 8099
- **SEC file number:** 801-113946
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/8099

## About

W&S Brokerage Services is an SEC-registered investment adviser in Cincinnati, OH, registered since 2018. The firm manages $257 million in regulatory assets. It has 114 employees and 86 investment advisers.

## Sectors

- Wealth Management

## Questions

### Does W&S Brokerage Services manage third-party client assets independently?

No. The firm operates primarily as a product distributor for Western & Southern's affiliated insurance and investment manufacturers, such as Touchstone Investments. It does not hold itself out as an independent registered investment advisor or wealth manager serving external clients on a discretionary basis. Its registered representatives sell proprietary variable annuities and mutual funds to retail purchasers.

### How is Western & Southern's mutual structure relevant to the broker-dealer's operations?

As a mutual organization, Western & Southern is owned by its policyholders rather than public shareholders. This insulates W&S Brokerage Services from the short-term earnings pressure that shapes product pricing and sales incentives at publicly traded broker-dealers and insurers. The structure allows the distribution arm to prioritize customer retention and long-term policyholder value, aligning the product shelf with conservative, accumulation-oriented objectives.

### Is W&S Brokerage Services a standalone business or integrated with Western & Southern?

It is fully integrated into Western & Southern's operational infrastructure, with no publicly disclosed independent revenue reporting, separate executive team, or distinct office footprint. The entity exists as a legal and regulatory construct — a FINRA-registered broker-dealer — that enables Western & Southern's career agents and registered representatives to execute securities transactions lawfully. Its address, compliance function, and back-office operations are housed within the parent company.

## Related profiles

- [Shepherd Wealth & Retirement](https://altss.com/profile/shepherd-wealth-and-retirement)
- [Pmadvisers](https://altss.com/profile/pmadvisers)

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Last updated: 2026-06-03T20:00:00.000Z

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