Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Alison Horn is a financial advisor with over 30 years of experience in the industry. Currently, Wendy is a Registered Representative with Raymond James & Associates, Inc. and is located at their Wellesley, MA branch office. Wendy previously worked with several other well-known firms including MORGAN KEEGAN & COMPANY, INC., HSBC SECURITIES (USA) INC., CREDIT SUISSE FIRST BOSTON CORPORATION, and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. Wendy's areas of specialization include stocks, bonds, mutual funds, variable annuities, and other investment products. She has a strong track record of success and a commitment to providing her clients with personalized financial advice. Wendy is dedicated to helping her clients achieve 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.
Please see note in schedule d - miscellaneous
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
MA
09/24/2012 - Present
Raymond James & Associates, Inc. (WELLESLEY MA)
MA
05/02/2008 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (WELLESLEY MA)
MA
03/15/2001 - 01/17/2008
HSBC SECURITIES (USA) INC. (BOSTON MA)
NY
10/16/2000 - 03/14/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
03/10/1987 - 10/16/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
08/20/1985 - 05/13/1987
E. F. HUTTON & COMPANY INC
BC
Issued 10/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/24/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/23/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/1997
Series 5 - Interest Rate Options Examination
BC
Issued 10/08/1985
Series 3 - National Commodity Futures Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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