Benjamin P. Wallace

W&S BROKERAGE SERVICES

Westlake, TX 76262

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CRD#: 4384718

Professional summary

Benjamin P Wallace, who also goes by Benjamin Peter Wallace, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Westlake, Texas.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Peter Wallace

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- WESTLAKE, TX- FULL TIME SALES AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin P Wallace's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Benjamin P Wallace'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

September 25, 2019 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 1301 Solana Blvd Building 1, Suite 1529, Westlake, TX 76262

RIA

CRD#: 8099

Westlake, TX

Current

September 25, 2019 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 1301 Solana Blvd Building 1, Suite 1529, Westlake, TX 76262

RIA

CRD#: 8099

Westlake, TX

Past

November 6, 2013 - September 12, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HURST, TX

Past

November 6, 2013 - September 12, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HURST, TX

Past

October 1, 2012 - September 18, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ARLINGTON, TX

Past

October 1, 2012 - September 18, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

ARLINGTON, TX

Past

August 16, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ARLINGTON, TX

Past

August 16, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ARLINGTON, TX

Past

October 27, 2004 - August 9, 2006

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

FORT WORTH, TX

Past

October 27, 2004 - August 9, 2006

WAMU INVESTMENTS, INC.

CRD#: 599

FORT WORTH, TX

Past

August 6, 2003 - August 26, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

MESQUITE, TX

Past

August 6, 2003 - August 26, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

December 7, 2001 - August 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

IRVING, TX

Past

December 7, 2001 - August 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 11, 2001 - August 3, 2001

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(12/6/2023)

Colorado
(10/27/2025)

Maryland
(11/25/2024)

IAR

Maryland
(11/25/2024)

Ohio
(3/26/2021)

Texas
(9/25/2019)

IAR

Texas
(9/25/2019)

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

State Security Law Exam

IAR

Series 66

Date: 9/11/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2001

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

Benjamin P. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin P Wallace's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Benjamin P Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

W&S BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2001

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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