Wendy H. Ehrlich
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 Hetson Ehrlich, who also goes by Wendy Ehrlich, Wendy Gail Hetson, 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, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2024 - February 28, 2025
EASTERLY SECURITIES LLC
October 11, 2024 - November 14, 2024
OSAIC WEALTH, INC.
December 5, 2019 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 10, 1988 - May 27, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 1, 1985 - July 27, 1987
GRUNTAL & CO., L.L.C.
August 21, 1984 - October 1, 1985
JII SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
EASTERLY SECURITIES LLC
CRD#: 281103 / SEC#: , 8-69661
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
| SOMERS, DAVID MICHAEL II | CHIEF COMPLIANCE OFFICER | 4413478 |
Red Flags
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