WB
Wayne S. Babst
W&S BROKERAGE SERVICES
Tampa, FL 33624
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CRD#: 2437566
WB
Professional summary
Wayne Stephen Babst is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Tampa, Florida.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Wayne has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Stephen Babst's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne Stephen Babst's 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®
NoneExperience
Current
February 2, 2026 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 3903 Northdale Blvd Suite 290-e, Tampa, FL 33624RIA
BD
CRD#: 8099
Tampa, FL
Current
February 3, 2026 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 3903 Northdale Blvd Suite 290-e, Tampa, FL 33624RIA
BD
CRD#: 8099
Tampa, FL
Past
June 19, 2017 - September 26, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
TARPON SPRINGS, FL
Past
May 19, 2017 - September 26, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
TARPON SPRINGS, FL
Past
September 25, 2006 - May 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TAMPA, FL
Past
September 15, 2006 - May 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TAMPA, FL
Past
October 2, 2002 - September 15, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
TAMPA, FL
Past
September 30, 2002 - September 15, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
TAMPA, FL
Past
July 6, 2000 - September 30, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
CLEARWATER, FL
Past
June 2, 2000 - September 30, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
June 26, 1996 - May 26, 2000
FIRST SECURITIES USA, INC.
BD
CRD#: 39986
IRVINE, CA
Past
March 29, 1995 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
BD
CRD#: 20597
CHICO, CA
Past
January 4, 1994 - April 4, 1995
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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.
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
IAR
Florida(2/2/2026)
RR
Florida(2/4/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| 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.
CRD#: 8099Tampa, FL 33624TRUST BUT VERIFY
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