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AC

Alix Charlemagne

W&S BROKERAGE SERVICES
Miramar, FL 33027
Some features on this profile are disabled
CRD#: 4271364
AC

Professional summary

Alix Charlemagne, who also goes by Alix J Charlemagne, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Miramar, Florida.

Alix is registered as a RR (Registered Representative) and started their career in finance in 2005. Alix has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alix J Charlemagne

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 Alix Charlemagne'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 6, 2026 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 2901 Southwest 149th Ave Ste 130, Miramar, FL 33027
RIA
BD
CRD#: 8099
Miramar, FL
Past

January 8, 2025 - November 10, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
MIAMI, FL
Past

September 23, 2022 - July 30, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

September 14, 2021 - December 20, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ASTORIA, NY
Past

September 13, 2021 - December 20, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ASTORIA, NY
Past

December 5, 2019 - July 30, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
WEST HEMPSTEAD, NY
Past

December 4, 2019 - July 30, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
WEST HEMPSTEAD, NY
Past

February 1, 2018 - November 15, 2019

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
MELVILLE, NY
Past

November 30, 2017 - November 15, 2019

SANTANDER SECURITIES LLC

BD
CRD#: 41791
MELVILLE, NY
Past

February 4, 2014 - November 22, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FLUSHING, NY
Past

October 2, 2013 - January 7, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ELMONT, NY
Past

March 16, 2012 - September 24, 2013

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
ROOSEVELT, NY
Past

March 15, 2012 - September 24, 2013

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
ROOSEVELT, NY
Past

December 17, 2010 - March 14, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
SELDEN, NY
Past

December 13, 2010 - March 14, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SELDEN, NY
Past

May 27, 2008 - December 14, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
GLEN COVE, NY
Past

July 19, 2007 - May 27, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
BROOKLYN, NY
Past

December 1, 2005 - April 28, 2006

APEX CLEARING CORPORATION

BD
CRD#: 13071
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.
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.

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
Florida
(3/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/2005
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#: 8099Miramar, FL 33027

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