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WH

Wendy Hales

Some features on this profile are disabled
CRD#: 4359775
WH

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 Hales, CFP® was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 2001. Wendy had worked at 6 firms and has passed the Series 63, Series 66, Series 6TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Past

January 30, 2019 - January 31, 2020

ARBOR COURT CAPITAL, LLC

BD
CRD#: 143839
BROADVIEW HEIGHTS, OH
Past

January 22, 2019 - February 4, 2020

INNOVATIVE PORTFOLIOS LLC

RIA
CRD#: 281382
Sunnyvale, CA
Past

January 29, 2015 - February 3, 2020

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA
CRD#: 118739
SUNNYVALE, CA
Past

August 16, 2013 - January 21, 2015

BAKERAVENUE

RIA
CRD#: 132657
SAN FRANCISCO, CA
Past

September 8, 2003 - June 28, 2013

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SUNNYVALE, CA
Past

May 15, 2001 - June 27, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PORTLAND, OR

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/15/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2001
General Securities Representative Examination

Current Firm

AC
ARBOR COURT CAPITAL, LLC
ARBOR COURT CAPITAL, LLC

CRD#: 143839 / SEC#: , 8-67609

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

Main Address
8000 Town Centre Drive Suite 400, Broadview Heights, OH 44147
Mailing Address
8000 Town Centre Drive Suite 400, Broadview Heights, OH 44147
Phone number
(440) 922-0066
Established
Ohio since 11/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GETTS, GREGORY BRAINARDCFO, FINANCIAL PRINCIPAL, PRESIDENT1300527
MILCINOVIC, STEVEN ANTHONYCCO, FINANCIAL PRINCIPAL6435702

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.

Company Information

ARBOR COURT CAPITAL, LLC

CRD#: 143839

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