WO
Wendy L. Olson
WEDBUSH SECURITIES
Gleneden Beach, OR
Some features on this profile are disabled
CRD#: 1903253
WO
Professional summary
Wendy Lee Olson, who also goes by Wendy Lee Wendell, Wendy Lee Wendellpaquette, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Gleneden Beach, Oregon.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Wendy has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 3, Series 55, Series 7, Series 4, Series 14, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy Lee Wendell | Wendy Lee Wendellpaquette
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.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Lee Olson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wendy Lee Olson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 2, 2021 - Present
WEDBUSH SECURITIES INC.
Office #2: 5885 Sw Meadows Road Ste 150, Lake Oswego, OR 97035RIA
BD
CRD#: 877
Gleneden Beach, OR
Current
February 22, 2021 - Present
WEDBUSH SECURITIES INC.
Office #1: 5885 Sw Meadows Road Ste 150, Lake Oswego, OR 97035RIA
BD
CRD#: 877
LAKE OSWEGO, OR
Past
March 9, 2020 - March 4, 2021
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
Portland, OR
Past
March 4, 2020 - March 4, 2021
STANCORP EQUITIES, INC.
BD
CRD#: 19517
PORTLAND, OR
Past
May 29, 2008 - March 15, 2011
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STAMFORD, CT
Past
May 29, 2008 - March 15, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
STAMFORD, CT
Past
June 21, 2007 - September 7, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
PHILADELPHIA, PA
Past
May 1, 2007 - September 7, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
PHILADELPHIA, PA
Past
August 11, 2003 - May 1, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
PHILADELPHIA, PA
Past
August 11, 2003 - May 21, 2007
OSAIC FA, INC.
BD
CRD#: 3978
PHILADELPHIA, PA
Past
July 24, 2003 - May 21, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
PHILADELPHIA, PA
Past
October 28, 2002 - November 27, 2002
HOTOVEC, POMERANZ & CO., LLC
RIA
CRD#: 41178
SAN FRANCISCO, CA
Past
October 21, 2002 - December 18, 2002
HOTOVEC, POMERANZ & CO., LLC
BD
CRD#: 41178
SAN FRANCISCO, CA
Past
September 27, 2001 - January 22, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 11, 1999 - September 10, 2001
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 18, 1999 - May 18, 1999
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
August 9, 1996 - May 27, 1997
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
BROOKLYN, NY
Past
October 1, 1990 - May 27, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 28, 1989 - August 17, 1989
FINNET SECURITIES, INC.
BD
CRD#: 17960
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Oregon(3/2/2021)
IAR
Oregon(3/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/30/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
