Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendi-ann? Claim Your ProfileWendi-ann Francis is a financial advisor registered with J.P. Morgan Securities LLC, based in Houston, TX. Wendi-ann has been in the industry since August 2009. Wendi-ann holds Series 7, 6, 63 and 66 licenses. Wendi-ann also holds Series 6TO and SIE licenses. Previously, Wendi-ann worked at BBVA Securities Inc, Cetera Investment Services LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, DEWAAY FINANCIAL NETWORK, LLC, Mutual of America Life Insurance Company, Mutual of America Securities Corporation, and Equity Services, Inc.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
08/31/2021 - Present
J.p. Morgan Securities LLC (HOUSTON TX)
TX
04/07/2021 - 08/12/2021
BBVA SECURITIES INC. (HOUSTON TX)
TX
01/06/2017 - 03/17/2021
CETERA INVESTMENT SERVICES LLC (NACOGDOCHES TX)
TX
08/04/2014 - 06/10/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
IA
08/25/2009 - 03/01/2010
DEWAAY FINANCIAL NETWORK, LLC (CLIVE IA)
NJ
04/21/2008 - 08/03/2009
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (PARSIPPANY NJ)
NJ
04/21/2008 - 08/03/2009
MUTUAL OF AMERICA SECURITIES CORPORATION (PARSIPPANY NJ)
NJ
03/07/2007 - 04/18/2008
EQUITY SERVICES, INC. (CEDAR KNOLLS NJ)
NJ
05/21/2004 - 02/06/2007
NEW ENGLAND SECURITIES (FAIRFIELD NJ)
BOTH
Issued 09/04/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2014
Series 7 - General Securities Representative Examination
BC
Issued 05/20/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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