Washington Square Securities, Inc. (Des Moines)

Name: Washington Square Securities, Inc.
Address: 909 Locust Street, Des Moines, IA, 50309
Telephone: 515-698-7376

Washington Square Securities, Inc. is a large advisory firm based in Des Moines. It manages $127.93 million of regulatory assets for 2,355 client accounts. It has been registered with the SEC as an adviser since 2000 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Washington Square Securities provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 499 clients. On top of advisory services, the firm doesn't engage in other business activities.

Washington Square Securities: assets under management

The assets under management (AUM) of Washington Square Securities, Inc. is $127.93 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Washington Square Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Washington Square Securities, Inc.

Wayne Robert Huneke has been acting as President since 1 Oct 1997. John Stephen Simmers joined the executive team most recently as the Director/Executive Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Susan Mary Bergen	Secretary	1 Sep 1995	Other	2713956
Robert Charles Sallpante	Director	1 May 1997	Other	2737665
Wayne Robert Huneke	Director	1 Oct 1997	Other	2989900
Seth Howard Schwartz	Vp/chief compliance officer/crop	1 Jul 2000	Other	2366063
John William Hopkins	Trading specialist/srop	1 Jul 2000	Other	2111178
Ing Reliastar	100% shareholder	1 Sep 2000	75% - 100%	41-1620373
Daniel Shawn Kuntz	Finop/asst. vp/treasurer/cfo	1 Sep 2000	Other	1366037
Brian Lee Nygaard	President/ceo/director	1 Sep 2000	Other	1257931
Kenneth James Severud	Vice president/coo	1 Oct 2000	Other	2099541
Brian Lee Nygaard	Director	1 Dec 2000	Other	1257931
Miles Zev Gordon	Director	1 Jan 2001	Other	866959
Michael John Dubes	President, ceo & director	1 Feb 2001	Other	72383
Paula Cludray Engelke	Secretary	1 Mar 2001	Other	3097166
Michael John Dubes	Ceo & director	1 Apr 2001	Other	72383
Barbara Stroup Stewart	President	1 Apr 2001	Other	1415062
John Stephen Simmers	Director	1 Oct 2001	Other	711578
Marc Russell Lieberman	Vice chairman, director	1 Jan 2002	Other	1386788
Thomas Kenneth Rippberger	Compliance director/crop	1 Feb 2002	Other	3131447
Thaddeus Winthrop Iii Ingersoll	Principal review desk manager/srop	1 Feb 2002	Other	xxx-xx-xxxx
Michael John Dubes	Executive vice president & vice chairman	1 May 2002	Other	72383
Marc Russell Lieberman	Chairman & ceo	1 May 2002	Other	1386788
Barbara Stroup Stewart	President	1 Jun 2002	Other	1415062
Thomas Kenneth Rippberger	Vice president/chief compliance officer/crop	1 Jun 2002	Other	3131447
Barbara Stroup Stewart	President and chief compliance officer	1 Jul 2002	Other	1415062
Thaddeus Winthrop Iii Ingersoll	Assistant vice president/srop	1 Oct 2002	Other	xxx-xx-xxxx
Lion Connecticut Holdings Inc.	100% shareholder	1 Dec 2002	75% - 100%	02-0488491
Valerie Gay Brown	Director	1 May 2003	Other	4619265
Karl Stephen Lindberg	Vice president	1 Oct 2003	Other	1001270
John Stephen Simmers	Director/executive vice president	1 Jan 2004	Other	711578
Valerie Gay Brown	Director and executive vice president	1 Jan 2004	Other	4619265
Karl Stephen Lindberg	President, chief executive officer & director	1 Jan 2004	Other	1001270
Kevin Paul Stych	Vice president, sales and marketing	1 Jan 2004	Other	1904094
Kevin Michael Laraia	Vice president, operation and finance, treasurer and srop	1 Jan 2004	Other	2456743
Lynn Annette Stephens	Vice president, business development	1 Jan 2004	Other	2169858
David Eugene Frieberg	Vice president, recruiting	1 Jan 2004	Other	1289486
Christopher Alex Cokinis	Vice president, chief compliance officer, secretary and crop	1 Jan 2004	Other	1527389
Jackie Lisa Figliola	Executive vice president	1 Jan 2004	Other	1144031
Norman Mark Marr	Vice president	1 Jan 2004	Other	2790881

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
N.V. Ing Verzekeringen	Sole shareholder	1 Dec 1963	75% - 100%
Ing Insurance International B.V.	Sole shareholder	1 Apr 1977	75% - 100%
N.V. Ing Groep	Sole shareholder	1 Mar 1991	75% - 100%
Inc. Ing America Insurance Holding	Sole shareholder	1 Sep 2000	75% - 100%
Inc. Ing America Insurance Holding	Sole shareholder	1 Dec 2002	75% - 100%	02-0333654

Based in Des Moines

The principal office where Washington Square Securities, Inc. performs its advisory services is located at 909 Locust Street, Des Moines, IA 50309, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 515-698-7376 or by fax 515-698-3376. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at www.wssinet.com.