Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Sue Brown is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Wendy has over 25 years of experience in the financial services industry, having joined the firm in 1999. Wendy holds a Series 63, Series 65, Series 66, and Series 7 licenses. Wendy is registered in 19 states and has expertise in investment advisory services, including portfolio management for businesses and individuals. Wendy has experience working with individuals, businesses, charitable organizations, insurance companies, corporations, and pension and profit-sharing plans. Wendy is located in the New York office of Merrill Lynch, Pierce, Fenner & Smith Inc. and has been working with Bank of America, N.A. since 2011.
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
NY
10/11/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NA
06/20/1984 - 04/23/1987
E. F. HUTTON & COMPANY INC
BOTH
Issued 06/28/1999
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/23/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/12/1996
Series 2 - Non-Member General Securities 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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