Wendy Austin Rea
Professional Summary
Wendy Austin Rea, who also goes by Wendy Patrice Austin, Wendy Austin, Wendy Austin Ingram, was a registered financial advisor. Wendy was a previously registered financial professional and started their career in finance 1981 - 2023. Wendy had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wendy Patrice Austin, Wendy Austin, Wendy Austin Ingram
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
TICKRS CLEARING | VALUABLE CAPITAL SECURITIES, LLC | VALUABLE CAPITAL SECURITIES | TICKRS CLEARING LLC
Contact Information
Main Address
100 Spectrum Center Drive, Suite 750, Irvine, CA 92618Mailing Address
100 Spectrum Center Drive, Suite 750, Irvine, CA 92618Phone Number
(949) 393-1606Established
Delaware since 12/22/2020Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1997Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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