Dena R. Wever
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.
Dena Ralynn Wever was a registered financial professional .
Dena is a previously registered financial professional and started their career in finance in 2015. Dena had worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2021 - May 17, 2023
EMBED CLEARING LLC
April 28, 2015 - April 12, 2021
AXOS CLEARING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EMBED CLEARING LLC
CRD#: 309519 / SEC#: , 8-70546
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMBED FINANCIAL TECHNOLOGIES INC. | OWNER | |
| SIME, JEFFREY NORMAN | CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF RISK OFFICER, CHIEF COMPLIANCE OFFICER | 1554798 |
Red Flags
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