Wendy Brown, financial advisor New York NY

Wendy Brown

CRD Number: 1275752
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation Model: Both

Wendy Brown (CRD# 1275752) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY and has over 34 years of experience in the finance industry.

She is a Certified Plan Fiduciary Plan Advisor, (CPFA) Chartered Retriement Planning Counsler, (CRPC) and Certified Divorce Financial Advisor (CDFA).

 

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Professional Designations
Company Name Location Dates Years
Bank Of America, N.a. New York, NY May 2011 - Current 9
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York, NY Mar 1999 - Current 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1985
S65 NASAA Investment Advisors Law Examination Aug 1996
S7 General Securities Representative Examination (GS) Mar 1999
S66 NASAA Uniform Combined State Law Examination Jun 1999
Disclosure Information

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
Contact Info for Wendy S. Brown
Phone Number: 212-338-6093
Registered State(s):
  • TX
  • CT
  • CA
  • MA
  • NY
  • NJ
  • FL
  • GA
By the Numbers
  • Total Assets Under Management
    962,052
    MILLIONS
  • Total Number of Accounts
    2,529,169
    ACCOUNTS
  • Average Account Value
    $380,383
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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Data verified by both the advisor and the public regulatory data.

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