Wendy M. Hershey
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 Moore Hershey, CFA, CFP®, who also goes by Wendy Catherine Moore, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1992. Wendy had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3 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
November 4, 2021 - December 7, 2021
TERRIL & COMPANY
January 7, 2019 - October 12, 2020
J.P. MORGAN SECURITIES LLC
May 11, 2017 - December 10, 2018
ASSET CONSULTING GROUP, LLC
March 30, 2006 - January 29, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 16, 2004 - April 19, 2005
J.P. MORGAN SECURITIES INC.
May 4, 2004 - November 24, 2004
CHASE INVESTMENT SERVICES CORP.
June 11, 2003 - November 24, 2004
CHASE INVESTMENT SERVICES CORP.
November 14, 2001 - November 4, 2002
J.P. MORGAN SECURITIES INC.
September 29, 1998 - March 19, 1999
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 19, 1992 - September 23, 1996
IDS LIFE INSURANCE COMPANY
August 19, 1992 - September 23, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TERRIL & COMPANY
CRD#: 110422 / SEC#: 801-15619
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 7TO
Date: 1/7/2019
General Securities Representative ExaminationCurrent Firm
TERRIL & COMPANY
CRD#: 110422 / SEC#: 801-15619
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 864,076,780 |
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.
