Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Kester is a financial advisor who has been in the industry since 2000. Wendy is currently registered with UBS Financial Services Inc. and is licensed in Florida, Kentucky, and Texas. Wendy has previously been registered with LPL Financial LLC, J.C. Bradford & Co., and Mercantile Investment Services, Inc. Wendy is a licensed general securities representative and principal, as well as a licensed investment advisor. Wendy specializes in providing financial planning, portfolio management, and pension consulting services to individual and business clients.
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
KY
08/19/2015 - Present
UBS Financial Services Inc. (PADUCAH KY)
KY
08/09/2002 - 08/21/2015
LPL FINANCIAL LLC (PADUCAH KY)
NY
07/19/2000 - 08/11/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
11/02/1998 - 07/06/2000
J.C. BRADFORD & CO. (NEW YORK NY)
MO
08/03/1998 - 10/26/1998
MERCANTILE INVESTMENT SERVICES, INC. (ST. LOUIS MO)
NY
06/11/1998 - 08/11/1998
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 01/13/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1998
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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