Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Anne Thompson is a registered representative with Raymond James & Associates, Inc. Wendy has been in the securities industry since February 11, 2005 and has experience providing financial advice to individuals, businesses, and institutions. Wendy is licensed to sell securities in Indiana. She is a Series 7, Series 63 and Series 66 licensed professional. Wendy Anne Thompson has also passed the Securities Industry Essentials Examination. Prior to joining Raymond James & Associates, Inc., Wendy worked at City Securities Corporation.
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
IN
05/16/2007 - Present
Raymond James & Associates, Inc. (MUNCIE IN)
IN
02/08/2005 - 05/11/2007
CITY SECURITIES CORPORATION (MUNCIE IN)
BOTH
Issued 04/19/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/11/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2004
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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