Wendy R. Kirkby

STONEX SECURITIES

Orchard Park, NY 14127

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CRD#: 822567

Professional summary

Wendy Rhoades Kirkby, who also goes by Wendy J Rhoades, is a registered financial professional currently at STONEX SECURITIES INC. located in Orchard Park, New York.

Wendy is registered as a RR (Registered Representative) and started their career in finance in 1976. Wendy has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy J Rhoades

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy Rhoades Kirkby's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 12, 2014 - Present

STONEX SECURITIES INC.

Office #1: 6576 E. Quaker St., Orchard Park, NY 14127

CRD#: 18456

Orchard Park, NY

Past

May 24, 2004 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

ORCHARD PARK, NY

Past

September 1, 1987 - May 24, 2004

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

September 20, 1983 - September 21, 1987

GROWTH FACTS,INC.

CRD#: 4413

Past

July 21, 1983 - April 19, 1984

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

May 20, 1976 - September 8, 1977

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/12/2014)

California
(9/12/2014)

Florida
(9/12/2014)

Georgia
(9/12/2014)

Illinois
(9/12/2014)

Iowa
(9/12/2014)

Kentucky
(9/12/2014)

Maryland
(9/12/2014)

New Jersey
(9/12/2014)

New York
(9/12/2014)

North Carolina
(9/12/2014)

Virginia
(9/12/2014)

Exams

State Security Law Exam

Series 63

Date: 8/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STONEX SECURITIES INC.

CRD#: 18456 / SEC#: , 8-36638

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Phone number

(800) 292-2411

Established

Delaware since 01/22/2002

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	100% OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
CARTER, JAY WILSON	PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR	2412541
DAVISON, STUART ANDREW	DIRECTOR	7824576
DUNAWAY, WILLIAM JOHN	DIRECTOR	6505923
HUGO, MARK ERIC	POO	2177412
LYON, CHARLES MARTIN	DIRECTOR	4000852
MAURER, MARK L	DIRECTOR	4234406
MCAUSLAN, JAMES BUCHANAN	DIRECTOR	7658964
PARKER, BRIAN LANE	CHIEF COMPLIANCE OFFICER, ROSFP	4635848
PORZIO, JOSEPH JOHN	CFO / PFO / FINOP	1319702
RICHARDSON, MARCUS BRYANT	CHIEF OPERATING OFFICER	3037932
SMITH, PHILIP ANDREW	DIRECTOR, CHAIRMAN OF THE BOARD	4999097

Disclosures

Regulatory Event	9
Arbitration	4

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.

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Wendy R. Kirkby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendy Rhoades Kirkby's CRS (Customer Relationship Summary).

Certified licenses

Experience

WRP INVESTMENTS, INC.

MAIN STREET MANAGEMENT COMPANY

GROWTH FACTS,INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1983

Series 24

Date: 9/20/1985

FINRA

Current Firm

STONEX SECURITIES INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX SECURITIES INC.

TRUST BUT VERIFY

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