NV
Nick E. Vorholt
W&S BROKERAGE SERVICES
CINCINNATI, OH 45202
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CRD#: 6709367
NV
Professional summary
Nick Edward Vorholt, who also goes by Nicholas Edward Vorholt, Nicholas Vorholt, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio.
Nick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Nick has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Edward Vorholt | Nicholas Vorholt
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 Product Manager///Cincinnati Bengals, Cincinnati OH, Stadium Manager, Not investment related, Assist volunteer groups sell merchandise at stadium, 8hrs per month, hourly wage///
CRS (Client Relationship Summary) - RIA
Click below to view Nick Edward Vorholt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nick Edward Vorholt'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
September 8, 2025 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 400 Broadway 4th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
CINCINNATI, OH
Current
June 7, 2022 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 400 Broadway 4th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
CINCINNATI, OH
Past
January 3, 2022 - May 23, 2022
INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 35490
Covington, KY
Past
December 14, 2016 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
COVINGTON, KY
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
Alabama(6/30/2023)
RR
Alaska(6/30/2023)
RR
Arizona(6/30/2023)
RR
Arkansas(6/30/2023)
RR
California(6/30/2023)
RR
Colorado(6/30/2023)
RR
Connecticut(6/30/2023)
RR
Delaware(6/30/2023)
RR
District of Columbia(6/30/2023)
RR
Florida(6/30/2023)
RR
Georgia(6/30/2023)
RR
Hawaii(6/30/2023)
RR
Idaho(6/30/2023)
RR
Illinois(6/30/2023)
RR
Indiana(6/30/2023)
RR
Iowa(6/30/2023)
RR
Kansas(6/30/2023)
RR
Kentucky(6/7/2022)
RR
Louisiana(6/30/2023)
RR
Maine(6/30/2023)
RR
Maryland(6/30/2023)
RR
Massachusetts(6/30/2023)
RR
Michigan(6/30/2023)
RR
Minnesota(6/30/2023)
RR
Mississippi(6/30/2023)
RR
Missouri(6/30/2023)
RR
Montana(6/30/2023)
RR
Nebraska(6/30/2023)
RR
Nevada(6/30/2023)
RR
New Hampshire(6/30/2023)
RR
New Jersey(6/30/2023)
RR
New Mexico(6/30/2023)
RR
New York(6/30/2023)
RR
North Carolina(6/30/2023)
RR
North Dakota(6/30/2023)
RR
Ohio(6/7/2022)
IAR
Ohio(9/8/2025)
RR
Oklahoma(6/30/2023)
RR
Oregon(6/30/2023)
RR
Pennsylvania(6/30/2023)
RR
Rhode Island(6/30/2023)
RR
South Carolina(6/30/2023)
RR
South Dakota(6/30/2023)
RR
Tennessee(6/30/2023)
RR
Texas(6/30/2023)
RR
Utah(6/30/2023)
RR
Vermont(6/30/2023)
RR
Virginia(6/30/2023)
RR
Washington(6/30/2023)
RR
West Virginia(6/30/2023)
RR
Wisconsin(6/30/2023)
RR
Wyoming(6/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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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