Wendy Anne Albertini
Professional Summary
Wendy Anne Albertini, who also goes by Wendy Anne Whittaker, is a registered financial advisor currently at NC SECURITIES, LLC located in Easton, Maryland. Wendy is registered as a RR (Registered Representative) and started their career in finance in 2008. Wendy has worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE, Series 62, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wendy Anne Whittaker
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
NC SECURITIES, LLC
Contact Information
Main Address
101 Marlboro Avenue Suite 53, Easton, MD 21601Mailing Address
101 Marlboro Avenue Suite 53, Easton, MD 21601Phone Number
(240) 988-1296Established
Delaware since 09/28/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(7/12/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jul 2008Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2008About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wendy Anne Albertini's CRS (Customer Relationship Summary).
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