Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Moss Thomas has over 30 years of experience in the financial services industry, specializing in the management of investment portfolios for individuals, businesses, and institutional clients. Wendy is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) as an Investment Advisor Representative. Wendy has a strong track record of success in providing financial advice and portfolio management services, and is committed to helping her clients achieve their financial goals. Wendy is currently affiliated with RBC Capital Markets, LLC, a leading global financial services company. Prior to joining RBC Capital Markets, LLC, Wendy was employed by A. G. Edwards & Sons, Inc. and Smith Barney Shearson Inc. Wendy holds multiple licenses and certifications, including Series 7, 31, and 63, as well as the SIE. These licenses and certifications demonstrate Wendy's commitment to providing her clients with the highest level of professional service. Wendy is a respected and experienced financial advisor with a proven track record of success. Wendy is committed to providing her clients with personalized service and guidance to help them achieve their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WA
09/11/2000 - Present
RBC Capital Markets, LLC (SEATTLE WA)
MO
03/30/1994 - 08/30/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
08/13/1993 - 04/14/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 08/30/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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