Wendy C. Warren
Professional summary
Wendy Collins Warren was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wendy Collins Warren, who also goes by Wendy Lee Collins, Wendy Lee Warren, was a registered financial advisor .
Wendy is a previously registered financial advisor and started their career in finance in 1994. Wendy had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7 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
February 25, 2010 - November 16, 2010
WALLSTREET*E FINANCIAL SERVICES, INC.
October 31, 2008 - November 4, 2009
BROKERSXPRESS LLC
October 31, 2008 - November 4, 2009
BROKERSXPRESS LLC
August 1, 2006 - November 4, 2008
LPL FINANCIAL LLC
August 1, 2006 - November 4, 2008
LPL FINANCIAL LLC
July 20, 2005 - August 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - August 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 15, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 6, 1996 - August 19, 1997
A. G. EDWARDS & SONS, INC.
May 22, 1995 - February 6, 1996
GLOBAL STRATEGIES GROUP, INC.
March 2, 1995 - May 25, 1995
H.J. MEYERS & CO., INC.
December 21, 1994 - May 16, 1995
W.J. GALLAGHER & COMPANY, 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
WALLSTREET*E FINANCIAL SERVICES, INC.
CRD#: 43896 / SEC#: , 8-50464
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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