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Stacy A Wasserman

W & S Brokerage Services, Inc.

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About Stacy A Wasserman

Stacy Wasserman is a financial professional with over 15 years of experience in the financial services industry. Stacy currently works at W&S Brokerage Services, Inc. where she is a Registered Representative and Investment Advisor Representative. Stacy specializes in portfolio management for both individuals and businesses.

Firm Information

Stacy Wasserman 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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Stacy Wasserman’s Registration & Firm History

TX

03/10/2021 - Present

W&S Brokerage Services, Inc. (Westlake TX)

TX

11/20/2017 - 11/25/2020

ALLSTATE FINANCIAL SERVICES, LLC (IRVING TX)

IL

03/22/2005 - 10/03/2012

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

IL

04/21/2004 - 02/04/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

04/14/2003 - 03/19/2004

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

FL

08/29/2002 - 03/27/2003

RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

NY

05/20/1996 - 03/04/1997

EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)

NY

05/20/1996 - 03/04/1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/23/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/2018

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 02/17/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2017

Series 7 - General Securities Representative Examination

BC

Issued 05/17/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stacy A Wasserman.
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