Wendy J. Stewart
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 Jill Stewart, who also goes by Wendy Marie Stewart, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1987. Wendy had worked at 6 firms and has passed the Series 63, Series 7 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
October 27, 1998 - July 14, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
September 24, 1997 - October 13, 1998
QUICK & REILLY, INC.
October 16, 1990 - September 18, 1997
LEGEND MERCHANT GROUP, INC.
March 3, 1989 - November 21, 1990
VANDERBILT SECURITIES, INC.
January 18, 1989 - March 10, 1989
INVESTORS CENTER, INC.
October 2, 1987 - January 11, 1989
BLINDER, ROBINSON & CO., INC.
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
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
CRD#: 40596 / SEC#: , 8-49085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | SOLE SHAREHOLDER | |
| BRONSON, JOHN LINDLEY | SECRETARY | 4123239 |
| CHAPLIN, C EDWARD | TREASURER | 2744560 |
| CRAWFORD, GARY RAYMOND JR | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | 2667198 |
| ERICKSON, JOYCE BUDD | CROP AND VICE PRESIDENT | 604007 |
| GUNIA, ROBERT FRANCIS | DIRECTOR | 1367737 |
| KIM, JOHN YONG | PRESIDENT, DIRECTOR | 2010539 |
| MARCKS, CHRISTINE CANNON | DIRECTOR | 2801693 |
| MCGUIRE, CARL LOUIS | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2316372 |
| SLEYSTER, SCOTT GARRETT | DIRECTOR | 3237223 |
| ZARELLI, MICHAEL ROBERT | DIRECTOR | 1780900 |
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.
