Brenda L. Echeverria

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CRD#: 4375224

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 Lee Echeverria, who also goes by Brenda Lee Spencer, Brenda Lee Wolter, was a registered financial professional .

Brenda is a previously registered financial professional and started their career in finance in 2001. Brenda had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brenda Lee Spencer | Brenda Lee Wolter

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.

1) WEA Member Benefits, investment related, Madison, WI, owner of BD, Financial Planning Supervisor, 3/2013, 20 hours/month, Assist 403(b) and IRA program members with program questions and supervision. 2) WEA Financial Advisors, investment related, Madison WI, RIA, Financial Planning Supervisor, 6/2008, 120 hours/month, Assist 403(b) and IRA program members with program questions and supervision.

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®

None

Experience

Past

December 2, 2014 - December 31, 2024

WEA FINANCIAL ADVISORS, INC.

RIA

CRD#: 144919

MADISON, WI

Past

July 11, 2008 - December 31, 2024

WEA INVESTMENT SERVICES, INC.

CRD#: 126907

MADISON, WI

Past

January 21, 2004 - July 17, 2008

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

MADISON, WI

Past

January 6, 2003 - July 17, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

MADISON, WI

Past

October 15, 2001 - May 14, 2002

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEA FINANCIAL ADVISORS, INC.

WEA FINANCIAL ADVISERS, INC. | WEA FINANCIAL ADVISORS, INC.

CRD#: 144919 / SEC#: 801-118359

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Wisconsin

Registered Investment Advisory firm - (4/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEA FINANCIAL ADVISORS, INC.

WEA FINANCIAL ADVISERS, INC. | WEA FINANCIAL ADVISORS, INC.

CRD#: 144919 / SEC#: 801-118359

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Wisconsin

Registered Investment Advisory firm - (4/7/2020 Terminated)

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Contact information

Main Address

660 John Nolen Drive, Madison, WI 53713

Mailing Address

P.o. Box 7893, Madison, WI 53707-7893

Phone number

(800) 279-4030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEA ADV PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	620
AUM (Assets Under Management)	$ 554,283,162

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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Advisor Monitoring

Firm Stability Insights

Brenda L. Echeverria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEA INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WEA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2014

Series 63

Date: 11/14/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2003

Series 6

Date: 10/12/2001

Current Firm

WEA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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