Wendy A. Weiss

WEISS FINANCIAL ADVISORS

Cambridge, MA

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CRD#: 4435969

Professional summary

Wendy Arlene Weiss is a registered financial advisor currently at WEISS FINANCIAL ADVISORS, LLC located in Cambridge, Massachusetts.

Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Wendy has worked at 6 firms and has passed the Series 63, Series 65, Series 66, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1). Co-Trustee of spouse's trust account; [investment related] 19A Berkeley Street, Cambridge, MA 02138. 2). Cambridge Community Foundation [CCF is a charity and tax-exempt organization]. 99 Bishop Allen Drive, Cambridge, MA 02139. Position held: Co-Chair of the Cambridge Community Foundation's Professional Advisors, Summer, 2024- Summer, 2027. Duties: Chairing 3 PAC meetings per year, 2hours per month 3). Beth El Temple Center [BETC is a religious organization and tax-exempt organization]. 2 Concord Avenue, Belmont, MA 02478. Position held: Co-Chair of the committee for Tikkun Olam, (Social Action Committee in English) and member of the Board of Directors of BETC, July 2024-2027 Duties: Chairing 9 monthly meetings per year on weekends, 2- 5 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Arlene Weiss's 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

November 6, 2014 - Present

WEISS FINANCIAL ADVISORS, LLC

RIA

CRD#: 173233

Cambridge, MA

Past

February 11, 2014 - September 4, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEEDHAM, MA

Past

February 26, 2013 - November 13, 2013

HOT FLASH FINANCIAL ADVISORS LLC.

RIA

CRD#: 164377

CAMBRIDGE, MA

Past

April 6, 2009 - September 21, 2009

ROCK HILL FINANCIAL ADVISORS LLC

RIA

CRD#: 149657

SHARON, MA

Past

July 3, 2006 - March 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BOSTON, MA

Past

October 19, 2005 - March 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 10, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/6/2014)

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

Series 63

Date: 3/11/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/2014

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 12/10/2001

Futures Managed Funds Examination

Current Firm

WEISS FINANCIAL ADVISORS, LLC

CRD#: 173233 / SEC#:

Florida

Registered Investment Advisory firm - (10/29/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/6/2014 Approved)

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).

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Contact information

Main Address

Cambridge, MA

Mailing Address

Phone number

(617) 945-9856

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 10,535,274

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

Wendy A. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Arlene Weiss's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

HOT FLASH FINANCIAL ADVISORS LLC.

ROCK HILL FINANCIAL ADVISORS LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2014

Series 65

Date: 6/26/2006

Series 66

Date: 12/4/2001

Series 7

Date: 2/11/2014

Series 31

Date: 12/10/2001

Current Firm

WEISS FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEISS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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