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WF

Wendy A. Flores

FAIRPORT CAPITAL
BOCA RATON, FL
Some features on this profile are disabled
CRD#: 5757218
WF

Professional summary

Wendy Ann Flores is a registered financial professional currently at FAIRPORT CAPITAL, INC. located in Boca Raton, Florida.

Wendy is registered as a RR (Registered Representative) and started their career in finance in 2010. Wendy has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy Ann Flores's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 3, 2024 - Present

FAIRPORT CAPITAL, INC.

BD
CRD#: 15034
BOCA RATON, FL
Past

January 6, 2012 - March 26, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
SAN JOSE, CA
Past

May 11, 2010 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
SAN JOSE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/10/2010
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FAIRPORT CAPITAL, INC.
FAIRPORT CAPITAL, INC.

CRD#: 15034 / SEC#: , 8-32162

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Mailing Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Phone number
(480) 247-6874
Established
Connecticut since 03/06/1984
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONWAY, PATRICK ANTHONYPRESIDENT/CCO1258871
GISKE, BARRYVICE PRESIDENT4887571

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

FAIRPORT CAPITAL, INC.

CRD#: 15034Boca Raton, FL

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