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Wendy Kaye Penrod

Raymond James Financial Services Advisors, Inc

Saint Petersburg, FL

Ofallon, IL

Raymond James & Associates, Inc.

Ofallon, IL

St. Petersburg, FL

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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-06-23
  • IL RA
    APPROVED
    Since 2026-06-23

Branch Locations

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Ofallon, IL • United States

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-07-17
  • IL RA
    APPROVED
    Since 2023-07-17

Branch Locations

Ofallon, IL • United States

880 Carillon Parkway, St. Petersburg, FL 33716 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Saint Louis MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saint Louis MO 11/2016 07/2023
Raymond James & Associates, Inc. Ofallon IL 07/2023 Present
Raymond James Finanical Services, Inc. Ofallon IL 06/2026 Present
Raymond James Financial Services Advisors, Inc. Ofallon IL 06/2026 Present
Previous Registrations
  • 2009-04-27 → 2023-07-17
    Wells Fargo Clearing Services, Llc
    St. Louis, MO
    St. Louis, MO
    St. Louis, MO
  • 2007-09-24 → 2008-10-09
    Morgan Keegan & Company, Llc
    Shreveport, LA
    Shreveport, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-20
S63 Uniform Securities Agent State Law Examination 2001-12-21
  • S66 Uniform Combined State Law Examination
    2009-01-20
  • S63 Uniform Securities Agent State Law Examination
    2001-12-21
Other Names
  • Wendy Kaye Smith
  • Wendy Penrod
  • Wendy Kaye Penrod

View on SEC IAPD

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