Wendy Michelle Conner

Current Employers

Employment History

• 12/2009 → 06/2017
  Lpl Financial, Llc
  Houston, TX
• 08/2007 → Present
  Alliant Retirement Services, Llc
  Houston, TX
• 06/2017 → 07/2025
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2025 → Present
  Osaic Wealth, Inc.
  Casper, WY

Previous Registrations

• 2009-12-16 → 2015-10-06
  Lpl Financial Llc
  Casper, WY
  Houston, TX
  Richmond, TX
  Houston, TX
• 2007-09-25 → 2009-12-17
  Kestra Investment Services, Llc
  Houston, TX
• 2002-09-30 → 2005-10-11
  Valic Financial Advisors, Inc.
  Houston, TX

Other Businesses

1. NAME OF OTHER BUSINESS: ALLIANT RETIREMENT SERVICES, LLC DBA ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC-REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: CHIEF COMPLIANCE OFFICER START DATE: 05/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: CHIEF COMPLIANCE OFFICER; 2. ALLIANT INSURANCE SERVICES POSITION: First Vice President, Operations Manager NATURE: Alliant is a California corporation, with multiple offices and a principal place of business at 18100 Von Karman Ave., 10th Floor, Irvine, CA 92612. Alliant remains in good standing. Alliant is wholly owned by Alliant Holdings Intermediate, Inc., which is wholly owned by Alliant Intermediate, LLC, which is wholly owned by Alliant Services, Inc. Alliant owns several subsidiaries. Currently, no individual owns more than 25% of Alliant's parent companies. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/05/2007 ADDRESS: 18100 Von Karman Avenue, 10th Floor, Irvine CA 92612, United States DESCRIPTION: Alliant Insurance is the parent company of Alliant Retirement Services, LLC (RIA). I work with Alliant Insurance Services to promote the RIA for cross-sells, facilitate budgets and human resource support for our group, and work with Alliant to provide necessary insurance, reporting, and operational support for our group. 3. NAME OF OTHER BUSINESS: GSA MONTANA AND WYOMING COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 1011 BONNIE BREA, CASPER, WY; NATURE OF BUSINESS: GIRL SCOUTS; START DATE: 09/2018; POSITION/TITLE/RELATIONSHIP: GIRL SCOUT LEADER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: LEAD GIRL SCOUTS IN ACTIVITIES TO EARN BADGES AND PATCHES; 4. NAME OF OTHER BUSINESS: ALLIANT RETIREMENT SERVICES, LLC DBA ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2021, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD DUTIES; 5. ALLIANT RETIREMENT CONSULTING POSITION: Chief Compliance Officer NATURE: Alliant Retirement Consulting is the marketing name for Retirement and Wealth at Alliant, LLC, a registered investment advisor organized as an LLC and wholly owned by Alliant Insurance Holdings. We are operated separately. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/09/2013 ADDRESS: 565 E. Swedesford Road, Suite 100, Wayne PA 19087, United States DESCRIPTION: Chief Compliance Officer. Responsible for ADV Part 1 & 2, marketing, oversight of IARs, licensing, Code of Ethics, and Procedures, and oversight and application of the Investment Company Act of 1940 and relevant laws and regulations related to a registered investment advisor.

Exams

• S66 Uniform Combined State Law Examination
  2002-07-11
• S63 Uniform Securities Agent State Law Examination
  2000-08-04

Designations

Other Names

• Wendy Michelle Collins