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SW

Scott J. Walker

W&S BROKERAGE SERVICES
Las Vegas, NV 89123-3221
Some features on this profile are disabled
CRD#: 1673698
SW

Professional summary

Scott James Walker, who also goes by Scott J Walker, Scott James Walker, Scott Walker, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Las Vegas, Nevada.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Scott has worked at 18 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Scott J Walker | Scott James Walker | Scott Walker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott James Walker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott James Walker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 17, 2026 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 2140 E Pebble Rd Suite 230, Las Vegas, NV 89123-3221
RIA
BD
CRD#: 8099
Las Vegas, NV
Current

March 11, 2026 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 2140 E Pebble Rd Suite 230, Las Vegas, NV 89123-3221
RIA
BD
CRD#: 8099
Las Vegas, NV
Past

May 15, 2025 - July 16, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
ANAHEIM, CA
Past

May 15, 2025 - July 16, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
ANAHEIM, CA
Past

January 13, 2023 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Anaheim, CA
Past

January 13, 2023 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Anaheim, CA
Past

July 23, 2018 - February 6, 2023

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

May 29, 2018 - July 13, 2018

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

May 29, 2018 - February 6, 2023

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
Anaheim, CA
Past

November 2, 2017 - July 9, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Westlake Village, CA
Past

April 4, 2017 - June 22, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
LOS ANGELES, CA
Past

April 3, 2017 - June 22, 2017

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
LOS ANGELES, CA
Past

March 16, 2012 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CERRITOS, CA
Past

March 16, 2012 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CERRITOS, CA
Past

August 9, 2010 - November 21, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
BEVERLY HILLS, CA
Past

August 2, 2010 - November 21, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
BEVERLY HILLS, CA
Past

August 2, 2010 - November 21, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BEVERLY HILLS, CA
Past

February 13, 2007 - July 27, 2009

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
HAWTHORNE, CA
Past

February 12, 2007 - July 27, 2009

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
HAWTHORNE, CA
Past

January 3, 2006 - February 13, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
GARDENA, CA
Past

January 3, 2006 - February 13, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
GARDENA, CA
Past

June 23, 2005 - September 14, 2005

DFC INVESTOR SERVICES

RIA
CRD#: 18558
CLAREMONT, CA
Past

June 23, 2005 - September 14, 2005

DFC INVESTOR SERVICES

BD
CRD#: 18558
CHINO HILLS, CA
Past

March 21, 2005 - June 17, 2005

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
VICTORVILLE, CA
Past

March 21, 2005 - June 17, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 9, 2004 - March 4, 2005

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
NAPA, CA
Past

September 23, 2003 - March 4, 2005

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

February 5, 2003 - September 12, 2003

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

January 29, 1999 - February 5, 2003

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

July 9, 1998 - January 11, 1999

PACIFIC AMERICAN SECURITIES, LLC

BD
CRD#: 42999
SAN DIEGO, CA
Past

May 16, 1990 - July 9, 1998

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

September 13, 1989 - December 21, 1989

REICH & CO., INC.

BD
CRD#: 19611
Past

June 3, 1987 - July 22, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
W&S BROKERAGE SERVICES, INC.
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Nevada
(3/17/2026)
IAR
Nevada
(3/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/11/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

W&S BROKERAGE SERVICES, INC.
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
400 Broadway, Cincinnati, OH 45202
Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202
Phone number
(513) 629-1055
Established
Ohio since 05/21/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
95

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

W&S WEALTH SOLUTIONS BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WESTERN AND SOUTHERN LIFE ASSURANCE COMPANYOWNER
BRODIE, TROY DALEPRESIDENT1924559
DELUCA, JAMES JOSEPHVP, MARKETING5420948
HERRON, SARAH SPARKSCORPORATE SECRETARY6905684
JOHNSON, JAY VINCENTTREASURER6607547
LOVELESS, MATTHEW WILLIAMVP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION5657647
LUEBBE, GREGORY MICHAELASSISTANT VICE PRESIDENT2924719
MCGRUDER, JILL TRIPPDIRECTOR1221720
MOURNE, DOUGLAS EDWARDAVP, BROKERAGE OPERATIONS2999021
NIEMEYER, JONATHAN DAVIDDIRECTOR5863603
SCOTT, SHAWN MICHAELCHIEF COMPLIANCE OFFICER4673623
STEARNS, TIMOTHY STEVENVP, COMPLIANCE OFFICER1327230
WIEDENHEFT, TERRIE ANNSENIOR VICE PRESIDENT AND CFO2619213
WITTMAN, SCOTT JOSEPHVP TAX7679752
WUEBBLING, DONALD JOSEPHDIRECTOR473438

Regulatory assets under management

Total Number of Accounts655
AUM (Assets Under Management)$ 175,814,665

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

CRD#: 8099Las Vegas, NV 89123-3221

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