Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gwendolyn? Claim Your ProfileGwendolyn Pooley is a financial advisor with Stifel, Nicolaus & Company, Inc., located in Bellevue, Washington. Gwendolyn has been in the industry since 1997 and has a wide range of experience, specializing in working with high-net-worth individuals, corporations, and other businesses. Gwendolyn is committed to providing clients with personalized financial advice and guidance, helping them reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
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2
WA
10/05/2016 - Present
Stifel, Nicolaus & Company, Inc. (BELLEVUE WA)
WA
06/24/2013 - 10/04/2016
WELLS FARGO ADVISORS, LLC (SEATTLE WA)
WA
06/01/2009 - 05/20/2013
MORGAN STANLEY (SEATTLE WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SEATTLE WA)
WA
06/25/1997 - 04/02/2007
MORGAN STANLEY DW INC. (SEATTLE WA)
BOTH
Issued 06/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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