Wendy M. Huang
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 Michelle Huang, who also goes by Wendy M Huynh, Wendy Michelle Huynh, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2018. Wendy had worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2021 - December 31, 2023
RAFFA INVESTMENT ADVISERS
May 21, 2019 - April 8, 2021
TLG ADVISORS, INC.
May 17, 2019 - April 8, 2021
THE LEADERS GROUP, INC.
August 8, 2018 - May 28, 2019
M HOLDINGS SECURITIES, INC.
July 18, 2018 - May 28, 2019
M HOLDINGS SECURITIES, INC.
Primary Firm SEC Registration
RAFFA INVESTMENT ADVISERS
CRD#: 136971 / SEC#: 801-67687
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
Series 6TO
Date: 4/11/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RAFFA INVESTMENT ADVISERS
CRD#: 136971 / SEC#: 801-67687
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 618 |
| AUM (Assets Under Management) | $ 1,540,071,340 |
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.
