Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Busby is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Raleigh, North Carolina. Wendy has been in the securities industry since December 1993. Wendy offers a wide range of services to individuals, businesses, and institutions, including portfolio management, financial planning, and investment advice. Wendy holds several licenses and certifications, including the Series 7, 3, and 66 licenses. Wendy also holds the Series 63 license in North Carolina. Wendy is committed to providing her clients with personalized financial advice and guidance.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
01/12/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RALEIGH NC)
BOTH
Issued 10/31/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1993
Series 7 - General Securities Representative Examination
BC
Issued 03/16/1992
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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