Bernard F. Wendt
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.
Bernard Frederick Wendt, who also goes by Bernard F Wendt, Bernie Wendt, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1967. Bernard had worked at 7 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1979 - January 7, 1988
ADVANTAGE CAPITAL CORPORATION
March 28, 1979 - August 21, 1979
THE VARIABLE ANNUITY MARKETING COMPANY
March 27, 1975 - October 24, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
March 27, 1975 - October 24, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
March 27, 1975 - October 24, 1975
IDS LIFE INSURANCE COMPANY
January 11, 1974 - February 24, 1974
PW SECURITIES, INC.
June 12, 1967 - July 14, 1973
MICHIGAN SECURITIES CO 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
Series 1
Date: 3/22/1979
Registered Representative ExaminationSeries 00
Date: 6/1/1967
General Securities Principal ExaminationCurrent Firm
ADVANTAGE CAPITAL CORPORATION
CRD#: 146 / SEC#: , 8-5072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP INC. | SHAREHOLDER | |
| FIELDS, INGER WILSON | FNOP | 1690043 |
| KRUSSEL, PETER | CHIEF COMPLIANCE OFFICER | 2534106 |
| PEET, WILLIAM GERARD | MUNICIPAL PRINCIPAL | 2139630 |
| PRATER, HELEN HOWARD | COO | 1354495 |
| ROTH, RALPH LAWRENCE | DIRECTOR | 1432179 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR/SVP/TREASURER/CFO | 1292456 |
| SCHLAFLY, MARK JOSEPH | PRESIDENT/CEO | 1091509 |
| SHIPLEY, THOMAS ALLEN | SVP | 422266 |
| SORKIN, NOAH DAVID | DIRECTOR | |
| WELLS, THOMAS MELVIN | CLO, SVP, SECRETARY | 731190 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
| Bond | 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.
