Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Kaye Penrod is a financial advisor at Raymond James & Associates, Inc. Wendy has been in the financial services industry since June 2003. Wendy is registered with FINRA as a General Securities Representative (Series 7) and a General Securities Sales Supervisor (Series 9, 10). Wendy is also registered with the state of Illinois as an Investment Advisor Representative. Wendy has worked with Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC and Morgan Keegan & Company, Inc.
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
IL
07/17/2023 - Present
Raymond James & Associates, Inc. (OFALLON IL)
MO
10/01/2008 - 07/17/2023
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
LA
02/13/2007 - 10/09/2008
MORGAN KEEGAN & COMPANY, INC. (SHREVEPORT LA)
LA
01/18/2006 - 02/13/2007
AMSOUTH INVESTMENT SERVICES, INC. (SHREVEPORT LA)
MO
02/01/2005 - 01/10/2006
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
AL
11/15/2001 - 07/09/2003
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
BOTH
Issued 01/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/24/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/20/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2001
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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