Trinity J. Wells
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.
Trinity Johanna Wells, who also goes by Trinity Johanna Ludwig, was a registered financial professional .
Trinity is a previously registered financial professional and started their career in finance in 2007. Trinity had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - December 6, 2019
SAGE CANYON ADVISORS, LLC
October 31, 2012 - September 10, 2014
GEORGE K. BAUM & COMPANY
February 13, 2007 - May 13, 2011
GEORGE K. BAUM & COMPANY
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
SAGE CANYON ADVISORS, LLC
CRD#: 139688 / SEC#: , 8-67238
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
