Wendy P. Schwarz
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 Pauline Schwarz, who also goes by Wendy Pauline Richendollar, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1997. Wendy had worked at 8 firms and has passed the Series 65, Series 63 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
December 21, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
December 7, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
August 7, 2006 - December 20, 2010
BANCWEST INVESTMENT SERVICES, INC.
May 17, 2006 - December 20, 2010
BANCWEST INVESTMENT SERVICES, INC.
October 24, 2005 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
October 24, 2005 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
March 1, 2005 - August 29, 2005
INVESTMENT PROFESSIONALS, INC.
February 28, 2005 - August 29, 2005
INVESTMENT PROFESSIONALS, INC.
November 15, 2001 - May 6, 2003
KEYBANC CAPITAL MARKETS INC.
April 2, 2001 - May 6, 2003
KEYBANC CAPITAL MARKETS INC.
July 21, 2000 - April 30, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 18, 1999 - July 26, 2000
ROBERT W. BAIRD & CO. INCORPORATED
May 22, 1997 - November 12, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
