Wendy J. Gregory
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 Jean Gregory, who also goes by Wendy Jean Clark, Wendy Taylor Der, Wendy Jean Taylor, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2017. Wendy had worked at 4 firms and has passed the Series 66, 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
August 16, 2024 - July 30, 2025
PURSHE KAPLAN STERLING INVESTMENTS
February 14, 2023 - July 29, 2025
MERIT FINANCIAL ADVISORS
January 30, 2023 - August 16, 2024
LPL FINANCIAL LLC
March 4, 2020 - February 11, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
March 4, 2020 - February 11, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2018 - January 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2017 - January 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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