Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Serrano is a financial advisor with over 20 years of experience in the financial services industry. Wendy has been with Wells Fargo Clearing Services, LLC since 2011. Wendy is licensed in 36 states and holds the Series 7, Series 63, Series 65, and SIE licenses. Wendy also has experience with Wells Fargo Investments, LLC and Wells Fargo Van Kasper, LLC. Wendy's areas of expertise include portfolio management, investment consulting, and financial planning.
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
ID
04/27/2018 - Present
Wells Fargo Clearing Services, LLC (BOISE ID)
ID
10/12/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (POCATELLO ID)
CA
02/01/2001 - 10/12/2001
WELLS FARGO VAN KASPER, LLC (SAN FRANCISCO CA)
GA
02/19/1999 - 01/03/2001
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 10/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1999
Series 7 - General Securities 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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