Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Elizabeth Carroll is a financial advisor registered with Wells Fargo Advisors Financial Network, LLC and has been in the industry since August 20, 2011. Wendy is based out of FORT LAUDERDALE, FL and works out of the branch office located at 500 W CYPRESS CREEK RD, STE 680. Wendy has been registered with Wells Fargo Advisors Financial Network, LLC since May 2, 2016. Previously, Wendy was registered with UBS Financial Services Inc. Wendy has passed the Series 7, Series 9, Series 10, Series 66, and SIE exams.
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.
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.
Investment consulting services to institutional clients
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.
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2
FL
05/02/2016 - Present
Wells Fargo Advisors Financial Network, LLC (FORT LAUDERDALE FL)
FL
08/27/2009 - 05/08/2014
UBS FINANCIAL SERVICES INC. (FT. LAUDERDALE FL)
BOTH
Issued 11/04/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/24/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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