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WENDI-ANN FRANCIS
WENDI-ANN MARIE FRANCIS, WENDIANN FRANCIS, WENDI-ANN MARIE FRANCIS WALKER, WENDI-ANN MARIE FRANCIS-WALKER, WENDI-ANN MARIE WALKER
CRD#: 4697411
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4313 MONTROSE BLVD.
HOUSTON, TX 77006
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2014 - 2016 (1 year)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BDEWAAY FINANCIAL NETWORK, LLC (CRD# 30767)2009 - 2010 (<1 year)BEQUITY SERVICES, INC. (CRD# 265)2007 - 2008 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2004 - 2007 (2 years)
License(s)

State Registrations

B
Arkansas 6/20/2024

B
New York 7/16/2024

B
California 6/5/2023

B
North Carolina 2/8/2022

B
Colorado 9/27/2022

B
Pennsylvania 8/21/2023

B
Florida 4/8/2022

B
Puerto Rico 6/14/2023

B
Georgia 6/14/2023

B
South Carolina 6/1/2023

B
Maryland 5/13/2024

B
Tennessee 6/7/2023

B
Michigan 9/7/2023

B
Texas 8/31/2021

B
Mississippi 6/1/2023

IA
Texas 8/31/2021

B
Missouri 10/24/2023

B
Virginia 2/16/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
4313 MONTROSE BLVD., HOUSTON, TX 77006
Registered with this firm since 8/31/2021

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4313 MONTROSE BLVD., HOUSTON, TX 77006
Registered with this firm since 8/31/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/04/2021 - 08/12/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) Houston, TX
B
04/07/2021 - 08/12/2021 BBVA SECURITIES INC. (CRD#:27060) HOUSTON, TX
IA
01/05/2017 - 03/17/2021 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) HOUSTON, TX
B
01/06/2017 - 03/17/2021 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NACOGDOCHES, TX
IA
09/05/2014 - 06/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
08/04/2014 - 06/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
08/25/2009 - 03/01/2010 DEWAAY FINANCIAL NETWORK, LLC (CRD#:30767) CLIVE, IA
B
04/21/2008 - 08/03/2009 MUTUAL OF AMERICA LIFE INSURANCE COMPANY (CRD#:15356) PARSIPPANY, NJ
B
04/21/2008 - 08/03/2009 MUTUAL OF AMERICA SECURITIES CORPORATION (CRD#:27878) PARSIPPANY, NJ
B
03/07/2007 - 04/18/2008 EQUITY SERVICES, INC. (CRD#:265) CEDAR KNOLLS, NJ
B
05/21/2004 - 02/06/2007 NEW ENGLAND SECURITIES (CRD#:615) FAIRFIELD, 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.