Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Diana Torres is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Wendy Torres has been in the securities industry since April 23, 2017. Wendy Torres is registered with the state of California as an investment advisor and a broker. Wendy Torres is also registered as a broker in the state of Texas. Wendy Torres has passed the Series 6, 7, 63, 65 and SIE exams. Wendy Torres has experience working at Wells Fargo Clearing Services LLC.
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
CA
10/26/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
02/28/2017 - 03/24/2020
WELLS FARGO CLEARING SERVICES, LLC (NEWPORT BEACH CA)
IA
Issued 10/20/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/09/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2017
Series 6 - Investment Company Products/Variable Contracts Representative 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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