Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Brennan Zimmerman is a registered investment advisor representative with HSBC Securities (USA) Inc. in Irvine, California. Wendy has been in the securities industry since March 29, 2011. Wendy has a Series 63, Series 66, and Series 7TO licenses. Wendy also holds the Series 6, Series 9, Series 10, Series 26 and SIE licenses. Wendy is registered to provide investment advisory services in California.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
01/31/2023 - Present
Hsbc Securities (usa) Inc. (IRVINE CA)
BOTH
Issued 08/23/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/28/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/09/2014
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/13/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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