Brenda J. Plamondon
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.
Brenda Jo Plamondon, who also goes by Brenda Jo Anderson, Brenda Jo Naffziger, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 2000. Brenda had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2023 - January 24, 2025
WELLINGTON FUNDS DISTRIBUTORS INC.
August 12, 2020 - June 22, 2022
CANTELLA & CO., INC.
March 11, 2019 - January 14, 2020
WELLINGTON FUNDS DISTRIBUTORS INC.
January 3, 2017 - July 5, 2018
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
August 19, 2015 - October 19, 2016
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
February 17, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 17, 2000 - July 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
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
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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