Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gwendolyn? Claim Your ProfileGwendolyn Willey is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Gwendolyn is also registered as an Investment Advisor Representative in Texas. Gwendolyn has been in the industry since 2008 and is licensed in over 50 states and territories. In her career, Gwendolyn has also worked with Wells Fargo Clearing Services, LLC and M Holdings Securities, Inc. Gwendolyn has obtained the following licenses: Series 7, Series 9, Series 10, Series 31, Series 66, Series 99TO and the SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
12/17/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HARTFORD CT)
CT
07/11/2018 - 11/05/2019
WELLS FARGO CLEARING SERVICES, LLC (GLASTONBURY CT)
CT
09/27/2010 - 07/13/2018
M HOLDINGS SECURITIES, INC. (WEST HARTFORD CT)
CT
08/09/2007 - 11/25/2009
UBS FINANCIAL SERVICES INC. (HARTFORD CT)
BOTH
Issued 01/25/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/13/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/22/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 11/29/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Gwendolyn Willey is the right advisor for you? Invested Better is here to help.
