Adrian R. Wendt

GAR WOOD SECURITIES

Naperville, IL 60563

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CRD#: 3199864

Professional summary

Adrian Robert Wendt, who also goes by Rob Wendt, is a registered financial professional currently at GAR WOOD SECURITIES, LLC located in Naperville, Illinois.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 1999. Adrian has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rob Wendt

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adrian Robert Wendt's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 28, 2015 - Present

GAR WOOD SECURITIES, LLC

Office #1: 1250 East Diehl Road Suite 115, Naperville, IL 60563

CRD#: 138033

Naperville, IL

Past

January 3, 2011 - August 27, 2015

CCM SECURITIES, LLC

CRD#: 104457

CHICAGO, IL

Past

May 4, 1999 - December 31, 2010

MF GLOBAL INC.

CRD#: 6731

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/28/2015)

Illinois
(8/28/2015)

New York
(10/1/2019)

Tennessee
(8/28/2015)

Exams

State Security Law Exam

Series 63

Date: 7/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/3/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/17/2002

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

GAR WOOD SECURITIES, LLC

GAR WOOD SECURITIES, LLC | TOLEDOTRADE

CRD#: 138033 / SEC#: , 8-67143

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1250 East Diehl Road Suite 115, Naperville, IL 60563

Mailing Address

1250 East Diehl Road Suite 115, Naperville, IL 60563

Phone number

(312) 566-0741

Established

Delaware since 02/20/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GERECKE, DENNIS ROBERT	CLASS A MEMBER, EVP, COO, ROSFP	1856554
JERSEY, ROBERT STANTON	CEO, CLASS A MEMBER, SOLE MGR.	1592359
ROETTGER, ANDREW	CLASS B MEMBER	7427489
JERSEY, RICHARD ANDREW	CLASS B MEMBER	8002945
DOOLEY, BRADFORD R	OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER	4308078
GANTAR, CRAIG MICHAEL	CLASS B MEMBER, SVP, SALES MANAGER	3238628
GOUWENS, SHERRY LEE	CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER	4458617
JERSEY, ROBERT COLEMAN	CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR	5870086
TATTAS, MICHAEL CARL	CLASS B MEMBER, CHIEF COMPLIANCE OFFICER	4386824

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Adrian R. Wendt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adrian Robert Wendt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CCM SECURITIES, LLC

MF GLOBAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/16/1999

Series 7

Date: 5/3/1999

Series 4

Date: 9/17/2002

FINRA

Current Firm

GAR WOOD SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GAR WOOD SECURITIES, LLC

TRUST BUT VERIFY

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