Wendy B. Hart
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 Beth Hart, CFP®, who also goes by Wendy Beth Potenberg, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1993. Wendy had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE 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
August 8, 2019 - December 11, 2019
TD AMERITRADE, INC.
January 22, 2001 - August 22, 2003
EQUITABLE DISTRIBUTORS, LLC
February 11, 2000 - September 15, 2003
EQUITABLE ADVISORS, LLC
July 20, 1999 - February 7, 2000
BANC ONE SECURITIES CORPORATION
January 5, 1995 - July 27, 1999
FIDELITY BROKERAGE SERVICES LLC
January 18, 1993 - December 7, 1994
RAYMOND JAMES FINANCIAL SERVICES, 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
Series 7TO
Date: 8/8/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
