Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Michelle Warner is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Wendy has been in the industry since August 10, 1997. Wendy is registered with the state of New Jersey and is licensed to sell securities in 53 states. Wendy also holds licenses for Securities Industry Essentials Examination (SIE) and General Securities Representative Examination (Series 7), as well as Uniform Securities Agent State Law Examination (Series 63) and Uniform Combined State Law Examination (Series 66). Wendy specializes in portfolio management for individuals and businesses, pension consulting, and providing research reports and services.
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
NJ
10/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Upper Montclair NJ)
NJ
08/30/2013 - 08/12/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HACKENSACK NJ)
NJ
05/03/2004 - 04/26/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
08/01/2003 - 05/18/2004
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
06/17/2003 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NJ
01/26/1999 - 10/04/2001
CITISTREET EQUITIES LLC (SOMERSET NJ)
NY
05/11/1995 - 11/30/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/06/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/1995
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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