Wendi-Ann Francis

CRD 4697411 · J.P. Morgan Securities LLC · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Wendi-Ann Marie Francis; Wendiann Francis; Wendi-Ann Marie Francis Walker; Wendi-Ann Marie Francis-Walker; Wendi-Ann Marie Walker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 6TOSIESeries 7Series 6Series 66Series 63
Registered states (19): Arkansas · California · Colorado · Florida · Georgia · Louisiana · Maryland · Michigan · Mississippi · Missouri · New York · North Carolina · Pennsylvania · Puerto Rico · South Carolina · Tennessee · Texas · Utah · Virginia
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (13)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Houston, TX · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Houston, TX · BC capacity

start not retrieved → present
Pnc Managed Account Solutions, Inc.
Houston, TX · IA capacity

May 4, 2021 → Aug 12, 2021
Bbva Securities Inc.
Houston, TX · BC capacity

Apr 7, 2021 → Aug 12, 2021
Cetera Investment Services LLC
Nacogdoches, TX · BC capacity

Jan 6, 2017 → Mar 17, 2021
Cetera Investment Advisers LLC
Houston, TX · IA capacity

Jan 5, 2017 → Mar 17, 2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Houston, TX · IA capacity

Sep 5, 2014 → Jun 10, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Houston, TX · BC capacity

Aug 4, 2014 → Jun 10, 2016
Dewaay Financial Network, LLC
Clive, IA · BC capacity

Aug 25, 2009 → Mar 1, 2010
Mutual Of America Securities Corporation
Parsippany, NJ · BC capacity

Apr 21, 2008 → Aug 3, 2009
Mutual Of America Life Insurance Company
Parsippany, NJ · BC capacity

Apr 21, 2008 → Aug 3, 2009
Equity Services, Inc.
Cedar Knolls, NJ · BC capacity

Mar 7, 2007 → Apr 18, 2008
New England Securities
Fairfield, NJ · BC capacity

May 21, 2004 → Feb 6, 2007

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4697411 ↗ FINRA BrokerCheck record for CRD 4697411 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.