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Cindy Sin-Yi Tsai

9 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningSocially Responsible InvestingTax Planning
Compensation
Fee-Only (AUM)
Firm Size
82 advisors
Number of Clients
655 clients
Average Client Portfolio
$268K average
Assets Under Management
$175.8M

Fee Structure

Minimum Investment:$75K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K1.50%
$250K - $500K1.40%
$500K - $750K1.30%
$750K+1.10%
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Minimum Annual Fee:$250
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Location

400 Broadway, 4th Floor, Cincinnati, OH, 45202

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History

Regulatory History
Clean regulatory record

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.

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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.
November 2019 - Present · 6 yrs 3 mos
W&s Brokerage Services, INC.Broker
November 2017 - Present · 8 yrs 3 mos
Previous Registrations
First Union Securities, INC.Broker
October 1999 - July 2001 · 1 yr 9 mos
State Registrations1 state
OH
AdvisorBrokerBoth
Exams
No exam information available for this advisor.