Wendy C. Shipman
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 Christine Shipman, who also goes by Wendy Christine Kitchens, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2000. Wendy had worked at 5 firms and has passed the Series 63, SIE 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
Experience
May 12, 2014 - November 25, 2014
FIRST ASSET FINANCIAL INC.
September 14, 2011 - August 3, 2012
THE LEADERS GROUP, INC.
March 4, 2008 - May 13, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
March 10, 2004 - April 5, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
January 30, 2002 - July 9, 2003
COMMERCE BROKERAGE SERVICES, INC.
April 26, 2001 - December 18, 2001
GREAT SOUTHERN INVESTMENTS
August 15, 2000 - May 31, 2001
COMMERCE BROKERAGE SERVICES, 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
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
