Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy McGowan Allen has been in the financial services industry since 1997. Currently, Wendy is registered with Raymond James Financial Services Advisors, Inc. Wendy is a financial professional who is committed to helping clients reach their financial goals. Wendy has experience working with a variety of clients, including individuals, families, and businesses. Wendy is a registered representative and investment advisor representative, and she holds the Series 7, Series 31, and Series 66 licenses. She is also a member of the Financial Industry Regulatory Authority (FINRA). In addition to her work at Raymond James Financial Services Advisors, Inc., Wendy also works as a registered client service associate for Woodforest National Bank. Wendy is passionate about helping clients understand their financial options and make informed decisions.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
06/06/2022 - Present
Raymond James Financial Services Advisors, Inc. (The Woodlands TX)
TX
08/01/2019 - 06/03/2022
OPPENHEIMER & CO. INC. (THE WOODLANDS TX)
TX
06/01/2009 - 07/31/2019
MORGAN STANLEY (HOUSTON TX)
TX
08/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (THE WOODLANDS TX)
TX
07/02/2002 - 09/03/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NY
02/14/1995 - 07/20/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/20/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/06/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/20/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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