Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Li, a seasoned financial professional with over 25 years of experience in the industry, is a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Wendy holds the Series 7, 63, and 66 securities licenses. Her expertise spans various financial services, including portfolio management for individuals and businesses, pension consulting, and selection of other advisors. Wendy is dedicated to providing comprehensive financial guidance and strategies to meet the diverse needs of her clients. Prior to joining Merrill Lynch, Wendy was employed at City National Securities, Inc., and J.P. Morgan Securities 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
06/11/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
NY
03/06/2012 - 04/03/2024
CITY NATIONAL SECURITIES, INC. (NEW YORK NY)
NY
10/01/2008 - 01/28/2011
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
10/24/2000 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/29/1995 - 11/16/1999
CHASE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 06/10/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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