Wendy R. Fletcher

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CRD#: 1229353

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 Rae Fletcher, who also goes by Wendy R Koon, Wendy Rae Koon, was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1988. Wendy had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy R Koon | Wendy Rae Koon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 15, 2020 - February 2, 2024

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

October 24, 1991 - September 25, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 5, 1990 - December 18, 1990

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 10, 1989 - June 22, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 23, 1988 - April 3, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J.P. MORGAN INVESTMENT MANAGEMENT INC.

J.P. MORGAN ASSET MANAGEMENT | MORGAN J P INVESTMENT MANAGEMENT INC | JPMORGAN FLEMING ASSET MANAGEMENT | JPMORGAN ASSET MANAGEMENT | J.P. MORGAN INVESTMENT MANAGEMENT INC.

CRD#: 107038 / SEC#: 801-21011

RIA

Registered Investment Advisory firm - (4/4/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Current Firm

J.P. MORGAN INVESTMENT MANAGEMENT INC.

J.P. MORGAN ASSET MANAGEMENT | MORGAN J P INVESTMENT MANAGEMENT INC | JPMORGAN FLEMING ASSET MANAGEMENT | JPMORGAN ASSET MANAGEMENT | J.P. MORGAN INVESTMENT MANAGEMENT INC.

CRD#: 107038 / SEC#: 801-21011

RIA

Registered Investment Advisory firm - (4/4/1984 Approved)

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Contact information

Main Address

270 Park Avenue, New York, NY 10017-2014

Mailing Address

Phone number

(800) 343-1113

Established

Firm type

Fiscal year end

# of Employees

3,186

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

J.P. MORGAN INVESTMENT MANAGEMENT INC. PART 2A BROCHURE (11/26/2025)

Regulatory assets under management

Total Number of Accounts	114,499
AUM (Assets Under Management)	$ 2,985,273,722,862

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
01/25/2024	Cover Page	Report
01/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Wendy R. Fletcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN INVESTMENT MANAGEMENT INC.

PRUDENTIAL EQUITY GROUP, LLC

CHARLES SCHWAB & CO., INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

J.P. MORGAN INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1989

Series 7

Date: 11/19/1988

Current Firm

J.P. MORGAN INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

J.P. MORGAN INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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