WP
WP
Wendy Penrod
22 Years of Experience
Ofallon, IL
Broker
Wendy Penrod is a registered investment advisor at Raymond James & Associates, INC., based in Ofallon, IL, with 22 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Ofallon, IL
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Raymond James & Associates, INC.
July 2023 - Present · 2 yrs 10 mos
Raymond James & Associates, INC.
July 2023 - Present · 2 yrs 10 mos
Raymond James & Associates, INC.Broker
July 2023 - Present · 2 yrs 10 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
March 2018 - July 2023 · 5 yrs 4 mos
Wells Fargo Advisors, LLC
April 2009 - December 2012 · 3 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
October 2008 - July 2023 · 14 yrs 9 mos
Morgan Keegan & Company, INC.
September 2007 - October 2008 · 1 yr 1 mo
Morgan Keegan & Company, INC.Broker
February 2007 - October 2008 · 1 yr 8 mos
Amsouth Investment Services, INC.Broker
January 2006 - February 2007 · 1 yr 1 mo
A. G. Edwards & Sons, INC.Broker
February 2005 - January 2006 · 11 mos
Amsouth Investment Services, INC.Broker
November 2001 - July 2003 · 1 yr 8 mos
State Registrations1 state
IL
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.