Wendy FricksCRD Number: 4162223
Current Firm: Simplicity Wealth
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.
Nbc Securities, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Cetera Investment Advisers LLC
|Simplicity Wealth, LLC||Summit, NJ||Oct 2020 - Current||2|
|Front Page Financial Advisors||Hoover, AL||Mar 2016 - Current||7|
|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, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management201MILLIONS
Total Number of Accounts2,342ACCOUNTS
Average Account Value$85,839
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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