Full text of W&S BROKERAGE SERVICES, INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition W&S Brokerage Services, Inc. Year ended December 31, 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | ## SEC FILE NUMBER 8-24674 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | filing for the period beginning 01/01/22 | | AND ENDING 12/31/22 | | | |------------------------------------------|----------|---------------------|----------|--| | | MM/DD/YY | | MM/DD/YY | | A. REGISTRANT IDENTIFICATION # NAME OF FIRM: W&S Brokerage Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 404 Broadway Street - 4th Floor | |---------------------------------| | | | | (No. and Street) | | | | | |------------------------------------------------------------|--------------------------------|------------------------------------------------------------------------------------------------|--|--|--| | 45202 | Ohio | Cincinnati | | | | | (Zip Code) | (State) | (City) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | terrie.wiedenheft@wslife.com | (513)-362-8242 | Terrie A. Wiedenheft | | | | | (Email Address) | (Area Code - Telephone Number) | (Name) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 45202<br>Ohio | | 221 East 4th Street, Suite 2900 Cincinnati | | | | | (State)<br>(Zip Code) | (City) | (Address) | | | | | 00042 | | 10/20/2003 | | | | | (PCAOB Registration Number, if applicable) | | (Date of Registration with PCAOB)(if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17…Read the full text as markdown