Wendy Lee Smailes
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Perfil
Wendy is the Manager of Compliance and Administration for Riverfront Investment Group.
For the past five years, she has served as the Compliance Liaison for the Advisory Services Group at Wachovia Securities.
In this capacity, she has worked with Management, Compliance & Legal personnel and several Regulators to ensure that the Group was consistently operating within all applicable regulations and guidelines.
Wendy joined a predecessor of Wachovia Securities in 1993.
Wendy graduated from Muhlenberg College in Allentown, PA, with a Bachelor of Arts degree.
Antiguos cargos conocidos de Wendy Lee Smailes.
| Empresas | Cargo | Fin |
|---|---|---|
Wachovia Securities LLC
 Wachovia Securities LLC Investment Banks/BrokersFinance Wachovia Securities LLC offered equity, fixed income, and structured products. It was founded in 2001 and was headquartered in St. Louis, MO. | Corporate Officer/Principal | - |
RiverFront Investment Group LLC
 RiverFront Investment Group LLC Investment ManagersFinance RiverFront Investment Group LLC is a SEC-registered investment advisor headquartered in Richmond, Virginia. The firm was founded in 2007 and is owned primarily by their employees through RiverFront Investment Holding Group LLC. Baird Financial Corp. is a minority owner of RiverFront Investment Holding Group, and therefore an indirect owner of the firm. RiverFront provides investment advice to a wide range of clients which includes, but not limited to, individuals, trusts, estates, pension and profit-sharing plans, charitable organizations, and corporations. They also serve as sub-adviser to investment companies. | Corporate Officer/Principal | - |
Formación de Wendy Lee Smailes.
| Muhlenberg College | Undergraduate Degree |
Experiencias
Funciones ocupadas
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Empresas cotizadas
Empresas privadas
Empresas relacionadas
| Empresas privadas | 2 |
|---|---|
RiverFront Investment Group LLC
RiverFront Investment Group LLC Investment ManagersFinance RiverFront Investment Group LLC is a SEC-registered investment advisor headquartered in Richmond, Virginia. The firm was founded in 2007 and is owned primarily by their employees through RiverFront Investment Holding Group LLC. Baird Financial Corp. is a minority owner of RiverFront Investment Holding Group, and therefore an indirect owner of the firm. RiverFront provides investment advice to a wide range of clients which includes, but not limited to, individuals, trusts, estates, pension and profit-sharing plans, charitable organizations, and corporations. They also serve as sub-adviser to investment companies. | Finance |
Wachovia Securities LLC
Wachovia Securities LLC Investment Banks/BrokersFinance Wachovia Securities LLC offered equity, fixed income, and structured products. It was founded in 2001 and was headquartered in St. Louis, MO. | Finance |
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