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Wendy Ann Wendt

LPL Financial LLC

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About Wendy Ann Wendt

Wendy Ann Wendt is a financial advisor currently registered with LPL Financial LLC and has been in the industry since 1983. Wendy is a licensed advisor in New Jersey. Prior to LPL Financial LLC, Wendy worked with CETERA ADVISORS LLC. Wendy also has held positions with SEVEN POINTS CAPITAL, LLC, EQUITY TRADING ONLINE, LLC, HORIZON CAPITAL, INC., DRIZOS INVESTMENTS, INC., BLUNT ELLIS & LOEWI INCORPORATED, MOORE & SCHLEY MUNICIPALS, INC., MOORE & SCHLEY, CAMERON & CO., BEVILL, BRESLER & SCHULMAN INCORPORATED and MARKS, ALLEN & CO..

Firm Information

Wendy Wendt is currently registered with LPL Financial LLC. LPL Financial LLC is a Limited Liability Company formed in 2010 and headquartered in Fort Mill, South Carolina. It provides advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. The firm manages over $463 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. LPL Financial is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
LPL Financial LLC

1055 LPL WAY

FORT MILL, SC 29715

$463.48B

Assets Under Management

168,915

Total Clients

21,775

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Wendy Wendt’s Registration & Firm History

NJ

03/15/2019 - Present

LPL Financial LLC (PARSIPPANY NJ)

NJ

03/09/2011 - 03/28/2019

CETERA ADVISORS LLC (PARSIPPANY NJ)

NJ

11/12/2007 - 12/03/2010

SEVEN POINTS CAPITAL, LLC (FLEMINGTON NJ)

NJ

07/26/2001 - 11/08/2007

EQUITY TRADING ONLINE, LLC (FLEMINGTON NJ)

FL

01/05/1999 - 12/04/2001

HORIZON CAPITAL, INC. (SARASOTA FL)

NJ

08/26/1987 - 01/13/1999

DRIZOS INVESTMENTS, INC. (MORRISTOWN NJ)

NA

07/25/1986 - 07/18/1987

BLUNT ELLIS & LOEWI INCORPORATED

NA

05/29/1985 - 08/04/1986

MOORE & SCHLEY MUNICIPALS, INC.

NA

05/22/1985 - 08/04/1986

MOORE & SCHLEY, CAMERON & CO.

NA

01/31/1984 - 04/10/1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

NA

01/18/1984 - 02/02/1984

MOORE & SCHLEY MUNICIPALS, INC.

NA

06/22/1983 - 01/06/1984

MARKS, ALLEN & CO.

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Licenses & Designations

BC

Issued 03/18/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/06/1991

Series 27 - Financial and Operations Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Wendy Ann Wendt. Review regulatory record here.
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