Claudia W. Trefz
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.
Claudia Wall Trefz, who also goes by Claudia J Wall, Claudia Jean Wall, was a registered financial professional .
Claudia is a previously registered financial professional and started their career in finance in 1983. Claudia had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 8 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
November 30, 2016 - October 4, 2018
EDELMAN FINANCIAL ENGINES
July 22, 2015 - November 30, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
January 3, 2011 - September 3, 2015
THE MUTUAL FUND STORE
May 6, 2005 - December 31, 2010
THE MUTUAL FUND STORE
March 16, 1990 - January 11, 2005
CHARLES SCHWAB & CO., INC.
August 1, 1988 - March 17, 1990
PLANNED INVESTMENT CO., INC.
October 20, 1983 - August 8, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
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