Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Peppers is a financial advisor who has been in the financial services industry since May 2001. Wendy is registered with Wells Fargo Clearing Services, LLC in both Tennessee and Texas. Wendy has previously worked for Morgan Stanley and UBS Financial Services Inc. Wendy specializes in working with a variety of clients, including high net worth individuals, corporations, pension plans, and individuals other than high net worth individuals. Wendy is a licensed Series 7 and Series 63 representative.
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
TN
07/02/2021 - Present
Wells Fargo Clearing Services, LLC (BRENTWOOD TN)
TN
08/15/2014 - 03/24/2021
MORGAN STANLEY (NASHVILLE TN)
TN
03/26/2009 - 08/27/2014
UBS FINANCIAL SERVICES INC. (NASHVILLE TN)
TN
05/22/2001 - 03/26/2009
WACHOVIA SECURITIES, LLC (BRENTWOOD TN)
BC
Issued 04/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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