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Information

Other Names: Wendy Karen Piper, Wendy P Weant
Firm:
Type: Dual Registration
Description

Wendy Weant is a financial professional at Transamerica Financial Advisors, Inc., a broker-dealer with over 4,850 registered representatives nationwide. Wendy has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Wendy Piper Weant has not answered any questions on Financial Q&A.

Top Guides

Wendy Piper Weant has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Transamerica Financial Advisors, Inc 6 months, 3 weeks Oct 2013 - Present
Ing Financial Partners 7 years, 9 months Dec 2005 - Sep 2013
Insight Financial Partners, LLC 9 years, 3 months Jan 2005 - Present
American General Securities 1 year, 9 months Mar 2003 - Dec 2004
Aig American General Life Insuranc Company 2 years, 11 months Jan 2003 - Dec 2005
Self Employed Musician/Performer 32 years, 7 months Oct 1981 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/04/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/04/2013
01/05/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 07/28/2008
Uniform Investment Adviser Law Examination Series 65 09/05/2006
Uniform Securities Agent State Law Examination Series 63 02/13/2003
Investment Company Products/Variable Contracts Representative Examination Series 6 01/30/2003

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions