CT
Cindy S. Tsai
W&S BROKERAGE SERVICES
CINCINNATI, OH 45202
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CRD#: 2971652
CT
Professional summary
Cindy Sin-yi Tsai, who also goes by Cindy Tsai, Sinyi Tsai, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Cindy has worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy Tsai | Sinyi Tsai
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.
WESTERN SOUTHERN LIFE- NO- CINCINNATI, OH- FULL TIME AVP AGENCY INVESTMENTS///ALPAUGH FAMILY ECONOMICS CENTER, CINCINNATI OH, BOARD MEMBER, NON-PROFIT ORGANIZATION - EQUIPS STUDENTS IN GRADES K-12 WITH PRACTICAL ECONOMIC KNOWLEDGE & SKILLS TRHOUGH IN SCHOOL PROGRAMS AND TEACHER TRAINING, NOT SECURITIES RELATED, 2HRS/MONTH, NO COMPENSATION///CINCINNATI SCHOLARSHIP FOUNDATION, CINCINNATI OH, NON PROFIT CHARITABLE FOUNDATION PROVIDING COLLEGE SCHOLARSHIPS, SCHOLARSHIP SELECTION COMMITEE MEMBER, NOT INVESTMENT RELATED, 5 HRS PER MONTH, NO COMPENSATION///
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Sin-yi Tsai's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cindy Sin-yi Tsai'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
November 15, 2019 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 400 Broadway 4th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
CINCINNATI, OH
Current
November 16, 2017 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 400 Broadway 4th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
CINCINNATI, OH
Past
October 4, 1999 - July 18, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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
RR
Ohio(11/16/2017)
IAR
Ohio(11/15/2019)
Exams
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#: 8099Cincinnati, OH 45202TRUST BUT VERIFY
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