Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy Waalen is an investment advisor representative registered with Oakwood Capital, Inc. Wendy has been in the financial industry since 2007. Wendy is licensed to provide investment advisory services in Arizona, California, Colorado, Florida, Georgia, Idaho, Kansas, Minnesota, Missouri, Montana, North Dakota, Oregon, South Dakota, Texas, Virginia, Washington, Wisconsin, and Wyoming. Wendy is a Series 66, Series 7, Series 99TO and SIE licensed investment advisor. Wendy also holds an insurance license. Wendy is part of a team that serves corporations, businesses, high net worth individuals, and individuals other than high net worth clients.
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.
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.
Solicitor fees
1
2
MN
12/31/2020 - Present
Oakwood Capital, Inc. (ST. LOUIS PARK MN)
ND
06/28/2007 - 02/27/2009
CITIGROUP GLOBAL MARKETS INC. (FARGO ND)
BOTH
Issued 06/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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