Full text of W&S BROKERAGE SERVICES, INC.'s X-17A-5 filed 2024-04-03 (period 2023-12-31). 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, 2023 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: Nov. 30, 2026 | | Estimated average burden | | 12<br>hours per response: | | | SEC FILE NUMBER | |-----------|------------------------------------------| | | 8-24674 | | | | | | | | | nder the Securities Exchange Act of 1934 | | ND ENDING | 12/31/23 | | | MM/DD/YY | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 u 01/01/23 FILING FOR THE PERIOD BEGINNING 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) | | | | | |------------------------------------------------------------------------------------------------|--------------------------------|--------------------------------------------|-------------------------------|--|--| | Cincinnat | Ohio | | 45202 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Terrie A. Wiedenheft (513)362-8252 | | | terrie. wiedenheft@wslife.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | 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) | | | | | | | 221 E 4th Street, Suite 2900 Cincinnati | | Ohio | 45202 | | | | (Address)<br>10/20/2003 | (City) | (State)<br>00042 | (Zip Code) | | | | (Date of Registration with PCAOB) (if applicable) | FOR OFFICIAL USE ONLY | (PCAOB Registration Number, if applicable) | | | | \* 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 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form…Read the full text as markdown