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Wendy S. Wallis

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CRD#: 2106011
WW

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 Suzanne Wallis was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1990. Wendy had worked at 6 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 1, 2013 - October 28, 2013

NOBLES & RICHARDS, INC.

BD
CRD#: 146870
DALLAS, TX
Past

September 18, 2012 - June 5, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN FRANCISCO, CA
Past

August 1, 2012 - September 6, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SAN FRANCISCO, CA
Past

January 29, 2009 - October 1, 2009

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
PLEASANTON, CA
Past

November 5, 1990 - November 23, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

November 5, 1990 - November 23, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 10/1/2013
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/31/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

N&
NOBLES & RICHARDS, INC.
NOBLES & RICHARDS, INC.

CRD#: 146870 / SEC#: , 8-67859

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
801 East Plano Parkway Suite 220, Plano, TX 75074
Mailing Address
801 East Plano Parkway Suite 220, Plano, TX 75074
Phone number
(214) 642-6603
Established
Texas since 10/02/2007
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TELEMARKETING LAW COMPLIANCE, LLCSHAREHOLDER
NOBLES, ILONKAPRESIDENT/CCO2704881
RICHARDS, JAMES ROSSCFO/FINOP2680389

Disclosures

Regulatory Event2

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.

Company Information

NOBLES & RICHARDS, INC.

CRD#: 146870

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