Wendy J. Wipperman
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 Jane Wipperman was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2008. Wendy had worked at 3 firms and has passed the Series 66, Series 63 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
September 24, 2013 - May 30, 2014
FIRST PUBLIC, LLC
April 6, 2012 - August 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2012 - August 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2008 - June 30, 2011
CREWS & ASSOCIATES, 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
FIRST PUBLIC, LLC
CRD#: 128180 / SEC#: , 8-66105
Contact information
FINRA licenses (3 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.
