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WENDY Jo FARRISSEY
WENDY J FARRISSEY, Wendy J Markon, WENDY J WAGNER
CRD#: 2168429
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 Mundelein, IL
Registration History
19952000200520102015202020252 FIRMS2006 - 2007 (1 year)2 FIRMS2021 - Present (3 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2007 - 2014 (6 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2002 - 2005 (3 years)BFIRSTAR INVESTMENT SERVICES,INC. (CRD# 14536)1991 - 1998 (7 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2007 - 2009 (2 years)IACUNA BROKERAGE SERVICES, INC. (CRD# 13941)2004 - 2005 (1 year)
License(s)

State Registrations

B
Alabama 1/10/2022

B
Montana 1/10/2022

B
Alaska 1/13/2022

B
Nebraska 1/11/2022

B
Arizona 12/21/2021

B
Nevada 1/24/2022

B
Arkansas 1/10/2022

B
New Hampshire 1/11/2022

B
California 11/30/2021

B
New Jersey 1/10/2022

B
Colorado 12/22/2021

B
New Mexico 1/10/2022

B
Connecticut 1/10/2022

B
New York 1/4/2022

B
Delaware 2/9/2022

B
North Carolina 1/10/2022

B
District of Columbia 1/13/2022

B
North Dakota 1/18/2022

B
Florida 12/1/2021

B
Ohio 1/10/2022

B
Georgia 12/2/2021

B
Oklahoma 1/13/2022

B
Hawaii 1/11/2022

B
Oregon 12/1/2021

B
Idaho 1/11/2022

B
Pennsylvania 1/10/2022

IA
Illinois 8/25/2021

B
Puerto Rico 1/25/2022

B
Illinois 12/21/2021

B
Rhode Island 1/12/2022

B
Indiana 1/10/2022

B
South Carolina 1/10/2022

B
Iowa 1/10/2022

B
South Dakota 1/21/2022

B
Kansas 1/10/2022

B
Tennessee 1/11/2022

B
Kentucky 1/10/2022

B
Texas 12/6/2021

B
Louisiana 1/11/2022

B
Utah 1/11/2022

B
Maine 1/10/2022

B
Vermont 1/10/2022

B
Maryland 1/10/2022

B
Virgin Islands 1/14/2022

B
Massachusetts 1/10/2022

B
Virginia 1/10/2022

B
Michigan 1/12/2022

B
Washington 12/21/2021

B
Minnesota 1/10/2022

B
West Virginia 1/13/2022

B
Mississippi 1/10/2022

B
Wisconsin 1/11/2022

B
Missouri 1/10/2022

B
Wyoming 1/18/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
Mundelein, IL
Registered with this firm since 11/24/2021

IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
Mundelein, IL
Registered with this firm since 8/25/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/06/2007 - 05/12/2014 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) HIGHLAND PARK, IL
IA
12/06/2007 - 12/31/2009 NORTHERN TRUST SECURITIES, INC (CRD#:7927) HIGHLAND PARK, IL
IA
01/26/2006 - 10/11/2007 HARRIS INVESTOR SERVICES, INC. (CRD#:137115) BUFFALO GROVE, IL
B
01/26/2006 - 10/11/2007 HARRIS INVESTOR SERVICES, INC. (CRD#:137115) BUFFALO GROVE, IL
IA
05/11/2004 - 11/17/2005 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) VERNON HILLS, IL
B
05/07/2002 - 11/17/2005 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
09/19/1991 - 12/31/1998 FIRSTAR INVESTMENT SERVICES,INC. (CRD#:14536) MORRIS PLAINS, NJ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.