Wendy S. Orth
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 Stephenson Orth, who also goes by Wendy Marie Stephenson, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 2015. Wendy had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - January 14, 2020
ENDOWMENT WEALTH MANAGEMENT, INC.
Primary Firm SEC Registration
ENDOWMENT WEALTH MANAGEMENT, INC.
CRD#: 108652 / SEC#: 801-112413
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
ENDOWMENT WEALTH MANAGEMENT, INC.
CRD#: 108652 / SEC#: 801-112413
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,403 |
| AUM (Assets Under Management) | $ 427,600,085 |
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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