Wendy S. Bolton
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 Shirey Bolton, who also goes by Wendy Ann Fitzsimmons, Wendy Shirey Fitzsimmons, Wendy Ann Shirey, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1989. Wendy had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2008 - April 16, 2012
HARVEST CAPITAL STRATEGIES LLC
February 15, 2002 - January 5, 2011
CITIZENS JMP SECURITIES, LLC
January 7, 1999 - May 31, 2001
ROBERTSON STEPHENS, INC.
June 14, 1994 - February 4, 1997
ROBERTSON, STEPHENS & COMPANY LLC
December 10, 1993 - May 16, 1994
DEUTSCHE BANK SECURITIES INC.
July 18, 1989 - May 7, 1991
S.G. WARBURG & 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
HARVEST CAPITAL STRATEGIES LLC
CRD#: 130037 / SEC#: 801-66003
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,054,943 |
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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