Paul S. Nam

W&S BROKERAGE SERVICES

Cerritos, CA 90703

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CRD#: 3218866

Professional summary

Paul Son Woo Nam, who also goes by Paul Nam, Son Woo Nam, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Cerritos, California.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Nam | Son Woo Nam

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) - BD

Click below to view Paul Son Woo Nam'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

December 15, 2019 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 17777 Center Court Drive Suite 625, Cerritos, CA 90703

RIA

CRD#: 8099

Cerritos, CA

Past

July 20, 2018 - August 23, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

BREA, CA

Past

June 17, 2014 - June 8, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

LA PALMA, CA

Past

June 10, 2004 - March 4, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

PASADENA, CA

Past

April 11, 2001 - January 22, 2004

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LOS ANGELES, CA

Past

February 28, 2001 - January 22, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 27, 2000 - February 14, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 27, 2000 - February 14, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 31, 2000 - August 18, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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)

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.

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

California
(12/17/2019)

Ohio
(4/4/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/30/2000

General Securities Representative Examination

SRO Registrations

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)

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

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

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

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.

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Firm Stability Insights

Paul S. Nam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Son Woo Nam's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

W&S BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2000

Series 63

Date: 8/5/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/30/2000

FINRA

Current Firm

W&S BROKERAGE SERVICES, INC.

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

W&S BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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