Wendy G. Vallery
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 Gellert Vallery, who also goes by Wendy Ann Gellert, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2004. Wendy had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Hartford
Bachelor of Science (BS) - Business Administration - Marketing
1983
Experience
July 13, 2018 - May 19, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 28, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
November 16, 2012 - May 18, 2023
FIDELITY BROKERAGE SERVICES LLC
November 3, 2005 - November 19, 2012
OSAIC FA, INC.
September 7, 2005 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 7, 2005 - November 19, 2012
OSAIC FA, INC.
August 30, 2004 - August 16, 2005
SUMMIT EQUITIES, INC.
April 1, 2004 - August 31, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 1, 2004 - August 31, 2004
OSAIC FA, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
Monitor Wendy Vallery
Get automatic monthly alerts on:
