Wendy E. Burns
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 Elizabeth Burns, CFP®, who also goes by Wendy Smart, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1998. Wendy had worked at 9 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
Start date: 2008
Experience
May 26, 2010 - September 17, 2013
FIRST INDEPENDENT ADVISORY SERVICES, INC.
May 25, 2010 - September 17, 2013
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
January 23, 2009 - May 25, 2010
NEXT FINANCIAL GROUP, INC.
January 23, 2009 - May 25, 2010
NEXT FINANCIAL GROUP, INC.
September 2, 2008 - October 16, 2008
EDWARD JONES
September 2, 2008 - October 16, 2008
EDWARD JONES
May 1, 2008 - June 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 2008 - June 10, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2006 - November 20, 2006
TD AMERITRADE, INC.
February 27, 2004 - April 28, 2006
TD AMERITRADE CLEARING, INC.
August 23, 2000 - October 23, 2002
FIDELITY BROKERAGE SERVICES LLC
August 7, 1998 - July 14, 2000
IDS LIFE INSURANCE COMPANY
August 7, 1998 - July 14, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CRD#: 132678 / SEC#:
Contact information
Red Flags
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