Davy
Kwok

W&S Brokerage Services, Inc

CRD#3120925
Investment Advisor
in Cerritos, CA

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About this Advisor

Davy Kwok is a financial advisor who works out of Cerritos, California with 1 year of industry experience. Kwok works at W&S Brokerage Services, Inc. Over the course of their career, they have held roles at Guardian Life, Park Avenue Securities, Massachusetts Mutual Life Insurance Company, Mml Investors Services, W&S Brokerage Services, Inc and W&S Life. Kwok holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is approved to operate in California. W&S Brokerage Services, Inc is a company based out of Cincinnati, OH. The company has offices in 50 locations and a total of 71 people on staff. It manages $54 million in assets under management between its 233 client accounts, placing it among the smaller firms in the country by assets under management. W&S Brokerage Services, Inc performs a set of services, such as portfolio management for individuals and small businesses and selection of other advisers. Fees charged by financial advisors typically are based on which service is offered. Fees billed by W&S Brokerage Services, Inc typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

1 year

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets

Office Location

17777 Center Court Drive Suite 625
Cerritos, CA 90703

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W&S Brokerage Services, Inc Brokerage Details

Total Assets Under Management

$53,837,000

CA Average: $2,106,341,625
Total Number of Employees

71

CA Average: 34
Total Number of Accounts

233

CA Average: 1,972
Average Account Size

$231,060

CA Average: $1,068,125

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Davy Kwok Work History

Davy has been registered as a financial advisor for 1 years.*

2022 - Present (2 years)

W&S Brokerage Services, Inc

2022 - Present (2 years)

W&S Life

2013 - 2022 (9 years)

Massachusetts Mutual Life Insurance Company

2013 - 2022 (9 years)

Mml Investors Services

2011 - 2013 (2 years)

Guardian Life

2011 - 2013 (2 years)

Park Avenue Securities

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Davy Kwok to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at W&S Brokerage Services, Inc

Salvatore Lauri
Wayne, PA
Henry Rossi
Ft Mitchell, KY
Robert Neff
Findlay, OH
Kristie Damore
Troy, MI
Phillip West
Asheville, NC
Shawn Williams
Cary, NC
Shawn Scott
Cincinnati, OH
Michael Ricciardi
Wayne, PA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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