Wendy Fricks (CRD# 4162223) is an Investment Advisor Representative working at Simplicity Wealth in Hoover, AL and has over 23 years of experience in the finance industry.
CRD# 2842337
Nbc Securities, Inc.
CRD# 6641051
Rfg Advisory, LLC
CRD# 6186795
Cetera Investment Advisers LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Simplicity Wealth, LLC | Summit, NJ | Oct 2020 - Current | 3 |
| Front Page Financial Advisors | Hoover, AL | Mar 2016 - Current | 8 |
| Dempsey Lord Smith, LLC | Rome, GA | Mar 2010 - Oct 2020 | 10 |
| Thomas Financial Group | Alabaster, AL | Jun 1986 - Mar 2016 | 29 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 2000 |
| S66 | NASAA Uniform Combined State Law Examination | Jul 2010 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- AL
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Total Assets Under Management3,167MILLIONS
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Total Number of Accounts6,188ACCOUNTS
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Average Account Value$511,725
- A percentage of assets under your management
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