Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Ann Johnson is a registered representative with Janney Montgomery Scott LLC. Wendy has been in the securities industry since May 1997. Wendy holds licenses for Series 7, 9, 10, 63 and 66 and is registered in 28 states. Wendy is also a Notary Public in Rhode Island. Before joining Janney Montgomery Scott LLC, Wendy was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated from March 2006 to July 2021.
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.
Fee plus commission
1
2
RI
08/10/2021 - Present
Janney Montgomery Scott LLC (South Kingstown RI)
RI
03/08/2006 - 07/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PROVIDENCE RI)
CT
05/16/1997 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
BOTH
Issued 11/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/10/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/02/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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