Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Behner has been in the financial services industry since December 1989. Wendy is currently registered as a registered representative with Wells Fargo Clearing Services, LLC. Wendy has held previous positions with Wells Fargo Investments, LLC, CAL FED INVESTMENTS, and INVEST FINANCIAL CORPORATION. Wendy holds the Series 6, Series 7, and Series 63 securities licenses as well as the Series 65 investment advisor license. Wendy is also 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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
CA
11/07/2016 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
08/29/2002 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (COVINA CA)
CA
01/31/1997 - 09/06/2002
CAL FED INVESTMENTS (SACRAMENTO CA)
WI
12/04/1989 - 01/31/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
IA
Issued 09/23/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1992
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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