Cindy Tsai
Cindy Tsai is a registered investment advisor at W&s Brokerage Services, INC., based in Cincinnati, OH, with 10 years of industry experience. Cindy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning, Socially Responsible Investing, and 1 more. Their firm serves 772 clients with $260M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.40% |
| $500K - $750K | 1.30% |
| $750K+ | 1.10% |
Fees may be negotiable at the sole discretion of W&S Brokerage Services, Inc. Potential fee reductions apply if funded from previous accounts that incurred commissions within 36 months.
Fee Estimator
Location
400 Broadway, 4th Floor, Cincinnati, OH, 45202
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Cindy works full-time as an AVP Agency Investments at Western Southern Life. She also serves as a board member for Alpaugh Family Economics Center (minimal time) and is on the scholarship selection committee for Cincinnati Scholarship Foundation (a few hours per week).
Employment History
Current Registrations
W&s Brokerage Services, INC.
W&s Brokerage Services, INC.Broker
Previous Registrations
First Union Securities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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