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Wendy Diana Torres

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-10-26
CA RA APPROVED 2020-10-21
  • TX RA
    APPROVED
    Since 2020-10-26
  • CA RA
    APPROVED
    Since 2020-10-21

Branch Locations

520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • 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 Bank Na Newport Beach CA 08/2014 03/2020
Wells Fargo Clearing Services Llc Newport Beach CA 11/2016 03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-20
S63 Uniform Securities Agent State Law Examination 2017-03-09
  • S65 Uniform Investment Adviser Law Examination
    2020-10-20
  • S63 Uniform Securities Agent State Law Examination
    2017-03-09
Other Names
  • Wendy Torres

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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