Wendy J. Seretan
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 Joy Seretan was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1984. Wendy had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 1996 - December 2, 1998
PRYOR, COUNTS & CO., INC.
October 12, 1993 - December 12, 1994
UNICORP FINANCIAL GROUP
April 3, 1991 - October 9, 1991
WEDBUSH SECURITIES INC.
August 31, 1988 - April 17, 1989
LEHMAN BROTHERS INC.
August 27, 1984 - July 29, 1988
THE CAMBRIDGE GROUP, INC.
January 5, 1984 - July 23, 1984
AMERICAN DIVERSIFIED EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PRYOR, COUNTS & CO., INC.
CRD#: 11002 / SEC#: , 8-27630
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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