Wendy A. Rea
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 Austin Rea, who also goes by Wendy Patrice Austin, Wendy Austin, Wendy Austin Ingram, was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1981. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2023 - September 18, 2023
TICKRS CLEARING
February 11, 2013 - May 20, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
July 7, 2011 - September 26, 2012
GBS FINANCIAL CORP.
March 23, 2009 - June 24, 2009
FINANCIAL ADVISERS OF AMERICA, LLC
February 23, 1981 - February 7, 2008
WEDBUSH SECURITIES INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/15/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TICKRS CLEARING
CRD#: 312531 / SEC#: , 8-70658
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
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.
