Wendy J. Fisk
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 Jo Fisk, who also goes by Wendy Jo Pemble, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1996. Wendy had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - January 16, 2015
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
December 13, 2006 - November 24, 2009
MG ADVISORY SERVICES, LLC
January 2, 2002 - October 11, 2013
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
January 29, 2001 - February 1, 2002
MOUNTAIN RIVER SECURITIES, INC.
January 27, 1999 - November 8, 1999
TCADVISORS NETWORK INC.
January 24, 1996 - November 26, 1996
IDS LIFE INSURANCE COMPANY
January 24, 1996 - November 26, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
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.
