Wendy T. Cepak
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 Trahan Cepak, who also goes by Wendy Ann Trahan, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1997. Wendy had worked at 10 firms and has passed the Series 65, Series 66, 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
August 4, 2023 - March 13, 2024
MECHE AND ASSOCIATES LLC
June 15, 2020 - February 6, 2023
HILLTOP SECURITIES INC.
June 15, 2020 - February 6, 2023
HILLTOP SECURITIES INC.
February 8, 2019 - September 30, 2019
MORGAN STANLEY
September 28, 2018 - September 30, 2019
MORGAN STANLEY
March 27, 2015 - September 7, 2018
OSAIC SERVICES, INC.
November 17, 2011 - March 22, 2013
FSC SECURITIES CORPORATION
September 15, 2010 - October 7, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 30, 2008 - October 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2008 - October 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 27, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 23, 2000 - April 10, 2001
WADDELL & REED
November 11, 1997 - November 24, 1998
BBVA COMPASS INVESTMENT SOLUTIONS, 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
MECHE AND ASSOCIATES LLC
CRD#: 323419 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 153 |
| AUM (Assets Under Management) | $ 9,168,701 |
Red Flags
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