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Paul Son woo Nam

W & S Brokerage Services, Inc.

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About Paul Son woo Nam

Paul Nam is a financial advisor with over 20 years of experience in the financial industry. He currently holds a Series 7 and Series 63 license and is registered to conduct business in California, North Carolina and Ohio. Paul Nam has a strong background working with clients who are individuals. He is affiliated with W&S Brokerage Services, Inc. and has a history of working at a variety of firms including NYLIFE SECURITIES LLC, MML INVESTORS SERVICES, LLC and AXA ADVISORS, LLC.

Firm Information

Paul Nam is currently registered with W & S Brokerage Services, Inc.. W&S Brokerage Services, Inc. is a corporation formed in 1974 and headquartered in Cincinnati, Ohio. The firm provides investment advisory services to individuals and is registered with the SEC and in 52 states. With over 85 registered representatives, W&S Brokerage Services, Inc. manages over $122 million in assets for its clients, offering portfolio management services and selection of other advisers.
W & S Brokerage Services, Inc.

400 BROADWAY

CINCINNATI, OH 45202

$122.86M

Assets Under Management

451

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Paul Nam’s Registration & Firm History

CA

12/15/2019 - Present

W&S Brokerage Services, Inc. (Cerritos CA)

CA

07/20/2018 - 08/23/2019

NYLIFE SECURITIES LLC (BREA CA)

CA

06/17/2014 - 06/08/2018

MML INVESTORS SERVICES, LLC (LA PALMA CA)

CA

06/10/2004 - 03/04/2014

PARK AVENUE SECURITIES LLC (PASADENA CA)

NY

02/28/2001 - 01/22/2004

AXA ADVISORS, LLC (NEW YORK NY)

MN

11/27/2000 - 02/14/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

11/27/2000 - 02/14/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

NY

05/31/2000 - 08/18/2000

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/13/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/05/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/30/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Paul Son woo Nam. Review regulatory record here.
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