Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Ferguson is a financial advisor in Greenwich, CT with over 30 years of experience in the industry. Currently, Wendy is a registered representative with Raymond James & Associates, Inc. Wendy has previously worked with DEUTSCHE BANK SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., DB ALEX. BROWN LLC and ALEX. BROWN & SONS INCORPORATED. Wendy is registered in 21 states, including California, Colorado, Connecticut, Delaware, Florida, and Georgia. Wendy holds Series 63 and 66 licenses. Wendy specializes in portfolio management for both individuals and businesses, financial planning and pension consulting.
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.
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2
CT
09/06/2016 - Present
Raymond James & Associates, Inc. (Greenwich CT)
CT
10/16/2006 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (GREENWICH CT)
PA
09/10/2004 - 10/26/2006
CITIGROUP GLOBAL MARKETS INC. (NEWTOWN PA)
NY
01/13/2001 - 09/24/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
04/30/1993 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NY
10/17/1991 - 02/03/1993
COWEN & CO. (NEW YORK NY)
NA
10/19/1990 - 10/08/1991
ALEX. BROWN & SONS INCORPORATED
NY
08/22/1985 - 08/07/1990
WERTHEIM SCHRODER & CO. INCORPORATED (NEW YORK NY)
NA
07/20/1983 - 08/14/1985
EVANS & CO., INC.
BOTH
Issued 01/30/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1983
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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