Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Jolene Walker is a financial advisor currently registered with UBS Financial Services Inc. Wendy has been in the financial industry since 1999. Wendy is a registered representative with FINRA and the state of Texas. She is also a registered investment advisor representative in the state of Texas. Wendy has worked with a variety of financial firms including Morgan Stanley, Merrill Lynch, and Dean Witter Reynolds. Wendy offers a variety of financial services including financial planning, portfolio management, and educational seminars. Wendy is dedicated to helping her clients achieve their financial goals.
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.
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.
See schedule d - miscellaneous
1
2
TX
09/29/2021 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
05/22/2020 - 09/22/2021
MORGAN STANLEY (Houston TX)
TX
09/26/2013 - 06/02/2020
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
07/10/2009 - 09/27/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
01/07/2008 - 08/03/2009
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
NV
03/29/2006 - 05/04/2006
MORGAN STANLEY DW INC. (RENO NV)
NJ
02/03/1999 - 09/30/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
11/28/1997 - 02/08/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/18/1997 - 09/22/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MN
09/16/1996 - 04/15/1997
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BOTH
Issued 07/19/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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