Bernard F. Wendling
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.
Bernard Frederick Wendling, who also goes by Bernie Wendling, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1988. Bernard had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2013 - April 15, 2013
FIFTH THIRD SECURITIES, INC.
February 6, 2013 - April 15, 2013
FIFTH THIRD SECURITIES, INC.
October 15, 2010 - April 16, 2012
PNC WEALTH MANAGEMENT LLC
February 12, 2009 - August 5, 2010
STATE FARM VP MANAGEMENT CORP.
January 1, 2008 - July 14, 2008
FIDELITY BROKERAGE SERVICES LLC
July 26, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
October 6, 2005 - June 5, 2006
FORESIDE DISTRIBUTION SERVICES, L.P.
October 18, 2004 - September 22, 2005
NATCITY INVESTMENTS, INC.
October 13, 2004 - September 22, 2005
NATCITY INVESTMENTS, INC.
January 22, 2004 - October 13, 2004
LUMENT SECURITIES, LLC
January 14, 2003 - February 23, 2004
STRATEGIC ADVISERS LLC
February 2, 1988 - February 23, 2004
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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
Series 8
Date: 11/24/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
