Cindy Sin-yi Tsai
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cindy Tsai, Sinyi Tsai
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
Contact Information
Main Address
400 Broadway, Cincinnati, OH 45202Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202Phone Number
(513) 629-1055Established
Ohio since 05/21/1974Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
114SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
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 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MASTERS, JOSHUA | ASSISTANT VICE PRESIDENT | 7671731 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| RENNERS, TYLER SCOTT | SECRETARY | 8246902 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO, TREASURER | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory Assets Under Management
Total Number of Accounts
963AUM (Assets Under Management)
$257,179,879Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
(11/16/2017)
(11/15/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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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).
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