Fay E. Groves
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.
Fay Elaine Groves, who also goes by Fay Brendle, was a registered financial professional .
Fay is a previously registered financial professional and started their career in finance in 1990. Fay had worked at 8 firms and has passed the Series 66, 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
May 7, 2012 - June 1, 2017
WESPAC ADVISORS, LLC
April 21, 2003 - September 28, 2010
CHARLES SCHWAB & CO., INC.
April 14, 2003 - September 28, 2010
CHARLES SCHWAB & CO., INC.
April 9, 2002 - March 4, 2003
VALIC FINANCIAL ADVISORS, INC.
October 5, 1998 - March 4, 2003
VALIC FINANCIAL ADVISORS, INC.
August 23, 1997 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 23, 1996 - August 8, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 28, 1994 - October 11, 1994
GUARANTY BROKERAGE SERVICES, INC.
November 25, 1992 - November 3, 1993
IDS LIFE INSURANCE COMPANY
November 25, 1992 - November 3, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 1990 - March 18, 1992
IDS LIFE INSURANCE COMPANY
July 25, 1990 - March 18, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WESPAC ADVISORS, LLC
CRD#: 148242 / SEC#: 801-69552
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
WESPAC ADVISORS, LLC
CRD#: 148242 / SEC#: 801-69552
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 639 |
| AUM (Assets Under Management) | $ 1,080,141,470 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/28/2025 | ||
| 07/21/2023 | ||
| 10/26/2022 |
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.
