Wendy L. Breuder
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 Lynn Breuder, who also goes by Wendy Breuder, Wendy Lynn Burns, Wendy Lynn Burns-zerbee, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1984. Wendy had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7, Series 52, Series 22, Series 6 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 9, 2011 - March 31, 2017
MUFG AMERICAS CORPORATE ADVISORY, INC.
September 3, 2010 - April 27, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
November 29, 2004 - February 3, 2009
BNP PARIBAS SECURITIES CORP.
October 18, 2000 - August 5, 2004
BANC ONE CAPITAL MARKETS, INC.
May 31, 2000 - October 12, 2000
WACHOVIA SECURITIES, INC.
October 20, 1998 - April 20, 2000
BANC ONE CAPITAL MARKETS, INC.
February 6, 1995 - July 10, 1996
SAFEGUARD SECURITIES, INC.
November 16, 1992 - December 22, 1994
INVESTEC INC.
December 4, 1989 - December 17, 1992
RRZ PUBLIC MARKETS, INC.
December 20, 1984 - September 30, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
MUFG AMERICAS CORPORATE ADVISORY, INC.
CRD#: 10151 / SEC#: , 8-26042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BURNS, CHRISTOPHER WILLIAM | BOARD MEMBER, SECRETARY | 2622449 |
| CHAFETZ, RANDALL CRAIG | BOARD MEMBER | 1747025 |
| CRONIN, KEVIN PETER | PRESIDENT & CEO, CHAIRMAN OF THE BOARD | 2883303 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MATHIS, CAROL PEDERSEN | CHIEF FINANCIAL OFFICER | 4322657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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