Wendy W. Malaspina
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 Walker Malaspina, who also goes by W Wendy Miles, Wendy Walker Miles, 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 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2017 - July 23, 2018
FUNDS DISTRIBUTOR, LLC
March 5, 2004 - March 11, 2016
FUNDS DISTRIBUTOR, LLC
October 3, 2001 - January 17, 2003
MAM SECURITIES, LLC
August 12, 1998 - January 5, 2000
MAM SECURITIES, LLC
October 3, 1997 - August 11, 1998
WELLS FARGO SECURITIES INC.
August 16, 1995 - June 23, 1997
WELLS FARGO SECURITIES INC.
May 25, 1995 - June 21, 1995
ADVEST, INC.
March 24, 1995 - April 13, 1995
CHARLES SCHWAB & CO., INC.
February 22, 1994 - January 23, 1995
WELLS FARGO SECURITIES INC.
March 4, 1993 - January 1, 1994
GT GLOBAL, 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
FUNDS DISTRIBUTOR, LLC
CRD#: 7174 / SEC#: , 8-20518
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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