Wendy S. Gildemeister

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CRD#: 1366011

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 Susan Gildemeister was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1985. Wendy had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

April 20, 2015 - November 17, 2016

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

April 20, 2015 - April 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LOVELAND, CO

Past

September 11, 2013 - October 6, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 14, 2008 - May 2, 2014

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

November 16, 1999 - March 8, 2001

MID ATLANTIC INVESTOR SERVICES, INC.

CRD#: 31002

WASHINGTON, DC

Past

December 19, 1997 - August 28, 2008

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

January 18, 1996 - September 30, 1997

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

April 24, 1989 - December 8, 1994

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

June 30, 1987 - April 8, 1989

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

May 2, 1986 - June 24, 1987

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Past

May 21, 1985 - April 23, 1986

WINTRUST INVESTMENTS LLC

CRD#: 875

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.

Exams

State Security Law Exam

Series 63

Date: 7/11/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/31/1992

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/1986

General Securities Principal Examination

Current Firm

FIRST CLEARING, LLC

CORESTATES SECURITIES CORP | FIRST CLEARING, LLC | FIRST CLEARING CORPORATION

CRD#: 17344 / SEC#: , 8-35158

Terminated by SEC on 02/05/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WELLS FARGO ADVISORS, LLC	SOLE MEMBER	19616
HURLEY, KEVIN BRADY	CHIEF COMPLIANCE OFFICER	1293748

Disclosures

Regulatory Event	34
Arbitration	2

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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Firm Stability Insights

Wendy S. Gildemeister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST CLEARING, LLC

MID ATLANTIC INVESTOR SERVICES, INC.

FERRIS, BAKER WATTS, LLC

E*TRADE SECURITIES LLC

RODMAN & RENSHAW INC.

NORTHERN TRUST SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

WINTRUST INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Series 27

Date: 3/31/1992

Series 24

Date: 9/23/1986

Current Firm

FIRST CLEARING, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST CLEARING, LLC

TRUST BUT VERIFY

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