WENDY THOMAS FRICKS - Investment Adviser at PNC INVESTMENTS

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Detailed ReportReport

WENDY THOMAS FRICKS

WENDY FRICKS, Wendy Dianne Thomas

CRD#: 4162223

Investment Adviser

Broker

PNC INVESTMENTSCRD#: 129052

1819 5th Ave N
BIRMINGHAM, AL 35203

Registration History

Disclosure(s)

View By:

3/21/2016

Customer Dispute

Settled

10/5/2015

Customer Dispute

Withdrawn

License(s)

State Registrations

Alabama 7/10/2024

Florida 1/28/2025

Alabama 7/10/2024

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

PNC INVESTMENTS (CRD#:129052)

1819 5th Ave N, BIRMINGHAM, AL 35203

1611 MONTGOMERY HIGHWAY, BIRMINGHAM, AL 35216

Registered with this firm since 7/10/2024

PNC INVESTMENTS (CRD#:129052)

1819 5th Ave N, BIRMINGHAM, AL 35203

1611 MONTGOMERY HIGHWAY, BIRMINGHAM, AL 35216

Registered with this firm since 7/10/2024

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	10/21/2020 - 07/10/2024	SIMPLICITY WEALTH (CRD#:300572)	Hoover, AL
IA	03/25/2010 - 10/19/2020	DEMPSEY LORD SMITH, LLC (CRD#:141238)	Birmingham, AL
B	03/18/2010 - 10/19/2020	DEMPSEY LORD SMITH, LLC (CRD#:141238)	BIRMINGHAM, AL
IA	10/16/2020 - 10/16/2020	SIMPLICITY WEALTH (CRD#:300572)	Hoover, AL
B	05/04/2000 - 03/17/2010	MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299)	HOOVER, AL

SIMPLICITY WEALTH (CRD#:300572)

Hoover, AL

10/21/2020 - 07/10/2024

DEMPSEY LORD SMITH, LLC (CRD#:141238)

Birmingham, AL

03/25/2010 - 10/19/2020

DEMPSEY LORD SMITH, LLC (CRD#:141238)

BIRMINGHAM, AL

03/18/2010 - 10/19/2020

SIMPLICITY WEALTH (CRD#:300572)

Hoover, AL

10/16/2020 - 10/16/2020

MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299)

HOOVER, AL

05/04/2000 - 03/17/2010

For additional information about investment advisers or broker-dealers, please visit

www.investor.gov

Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

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.