Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Farrissey is a financial advisor who has been in the industry since 2002. Wendy is currently registered with Charles Schwab & CO., INC., and has previously worked with NORTHERN TRUST SECURITIES, INC., HARRIS INVESTOR SERVICES, INC., CUNA BROKERAGE SERVICES, INC., and FIRSTAR INVESTMENT SERVICES,INC.. Wendy holds licenses for Series 6, 7, 10, 24, 63, 66 and is a Certified Financial Planner.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IL
08/25/2021 - Present
Charles Schwab & CO., Inc. (Chicago IL)
IL
12/06/2007 - 05/12/2014
NORTHERN TRUST SECURITIES, INC. (HIGHLAND PARK IL)
IL
01/26/2006 - 10/11/2007
HARRIS INVESTOR SERVICES, INC. (BUFFALO GROVE IL)
IA
05/07/2002 - 11/17/2005
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
NJ
09/19/1991 - 12/31/1998
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
BOTH
Issued 10/22/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/28/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/7/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 11/23/2021
Series 7TO - General Securities Representative Examination
BC
Issued 11/18/2004
Series 7 - General Securities Representative Examination
BC
Issued 5/6/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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