Wendy Brown
CRD Number: 1275752Current 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).
CRD# 1420183
Financial Life Focus, LLC
CRD# 2708116
Park Avenue Securities LLC
CRD# 5146297
Origin Investment Advisory LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | New York, NY | May 2011 - Current | 12 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York, NY | Mar 1999 - Current | 25 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1985 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1996 |
| S66 | NASAA Uniform Combined State Law Examination | Jun 1999 |
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- NY
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
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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