Wendy J. Whalen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wendy Jean Whalen, who also goes by Wenda Jean Rose, Wendy Jean Rose, Wendy Rose, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1995. Wendy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2016 - November 22, 2016
FIRST CLEARING, LLC
July 19, 2012 - July 6, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2012 - July 6, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2010 - July 19, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 4, 2010 - July 19, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 1, 2003 - December 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 29, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 29, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 27, 1998 - April 17, 1999
EDWARD JONES
November 21, 1997 - April 20, 1998
WELLS FARGO CLEARING SERVICES, LLC
February 12, 1996 - November 17, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 26, 1995 - February 26, 1996
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
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