Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Gail Coppola is a financial advisor with over 25 years of experience in the industry. She is currently registered with Raymond James & Associates, Inc. and has previously worked with Morgan Stanley, Ameriprise Financial Services, Inc., Securities America, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, A. G. Edwards & Sons, Inc., and David Lerner Associates, Inc. Wendy is a Series 7, Series 63, and Series 65 licensed professional and specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutions.
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.
1
2
CT
12/03/2019 - Present
Raymond James & Associates, Inc. (NEW HAVEN CT)
CT
12/13/2013 - 12/04/2019
MORGAN STANLEY (NEW HAVEN CT)
CT
05/01/2009 - 12/26/2013
AMERIPRISE FINANCIAL SERVICES, INC. (NEW HAVEN CT)
CT
07/13/2009 - 09/08/2011
SECURITIES AMERICA, INC. (NEW HAVEN CT)
CT
06/23/2005 - 05/05/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW HAVEN CT)
MO
05/02/1996 - 06/27/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
04/07/1995 - 04/26/1996
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
IA
Issued 07/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1995
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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