Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Joan Brooks is a financial advisor with Raymond James & Associates, Inc. She has been working in the financial services industry since 2004. Wendy Joan Brooks has a broad range of experience, including working with individuals, businesses, and institutions. Wendy Joan Brooks is a registered representative and investment advisor. Her services include financial planning, portfolio management, and educational seminars. Wendy Joan Brooks is committed to providing her clients with the highest level of service and expertise. Before joining Raymond James & Associates, Inc., Wendy Joan Brooks was employed by Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, 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.
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
MO
12/07/2015 - Present
Raymond James & Associates, Inc. (ST LOUIS MO)
MO
05/06/2013 - 11/24/2015
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
MO
09/26/2011 - 05/06/2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
01/01/2008 - 09/26/2011
WELLS FARGO ADVISORS, LLC (CLAYTON MO)
MO
03/02/2004 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CLAYTON MO)
BOTH
Issued 03/24/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/29/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2004
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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