SW
Scott A. Wendling
J.P. MORGAN INSTITUTIONAL INVESTMENTS
New York, NY 10172
Some features on this profile are disabled
CRD#: 2957619
SW
Professional summary
Scott A. Wendling, who also goes by Scott Alfred Wendling, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Alfred Wendling
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott A. Wendling's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2015 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172BD
CRD#: 102920
New York, NY
Past
April 14, 2015 - October 29, 2015
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
Parsippany, NJ
Past
July 26, 2006 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
WESTWOOD, MA
Past
July 12, 2004 - July 25, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
February 28, 2003 - June 14, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
May 23, 2002 - October 11, 2002
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
September 28, 1999 - May 14, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
December 3, 1998 - September 21, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2016)
RR
Alaska(1/4/2016)
RR
Arizona(1/4/2016)
RR
Arkansas(1/4/2016)
RR
California(1/4/2016)
RR
Colorado(1/4/2016)
RR
Connecticut(11/10/2015)
RR
Delaware(1/4/2016)
RR
District of Columbia(1/4/2016)
RR
Florida(1/4/2016)
RR
Georgia(1/4/2016)
RR
Hawaii(1/4/2016)
RR
Idaho(1/4/2016)
RR
Illinois(1/4/2016)
RR
Indiana(1/4/2016)
RR
Iowa(1/4/2016)
RR
Kansas(1/4/2016)
RR
Kentucky(1/4/2016)
RR
Louisiana(1/4/2016)
RR
Maine(11/10/2015)
RR
Maryland(11/10/2015)
RR
Massachusetts(11/5/2015)
RR
Michigan(1/4/2016)
RR
Minnesota(1/4/2016)
RR
Mississippi(1/4/2016)
RR
Missouri(1/4/2016)
RR
Montana(1/4/2016)
RR
Nebraska(1/4/2016)
RR
Nevada(1/4/2016)
RR
New Hampshire(1/4/2016)
RR
New Jersey(1/4/2016)
RR
New Mexico(1/4/2016)
RR
New York(11/10/2015)
RR
North Carolina(1/5/2016)
RR
North Dakota(1/4/2016)
RR
Ohio(1/4/2016)
RR
Oklahoma(1/4/2016)
RR
Oregon(1/4/2016)
RR
Pennsylvania(1/4/2016)
RR
Puerto Rico(1/4/2016)
RR
Rhode Island(11/10/2015)
RR
South Carolina(1/4/2016)
RR
South Dakota(1/4/2016)
RR
Tennessee(1/4/2016)
RR
Texas(1/4/2016)
RR
Utah(1/4/2016)
RR
Vermont(11/10/2015)
RR
Virginia(11/10/2015)
RR
Washington(1/4/2016)
RR
West Virginia(1/4/2016)
RR
Wisconsin(1/4/2016)
RR
Wyoming(1/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
