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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

WENDY M OTTERNESS

Advisor at WELLS FARGO ADVISORS

WILLMAR, MN | SUPERIOR , WI

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Search this name across graphsid dfx:ria:2fc271de-7704-5ef9-10c5-7a6fa2516d2d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 22, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Nov 22, 2005
First registration: Nov 28, 2005
Dual registered: yes, broker-dealer
Other names: WENDY M THOMAS
IAPD individual key: 4919582

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Sep 4, 2025	n/a	yes	SUPERIOR , WI\|WILLMAR, MN	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	Sep 16, 2025	no	ASHLAND, WI\|DULUTH, MN\|SUPERIOR, WI\|SUPERIOR, WI\|HERMANTOWN, MN	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Apr 10, 2017	May 18, 2022	no	SUPERIOR, WI\|HERMANTOWN, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Mar 29, 2017	no	CLOQUET, MN\|DULUTH, MN\|DULUTH, MN\|DULUTH, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 28, 2005	Jan 3, 2011	no	CLOQUET, MN\|DULUTH, MN\|DULUTH, MN\|DULUTH, MN\|DULUTH, MN\|DULUTH, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Sep 16, 2025	Sep 4, 2025	-12	Firm change	Ibd to wirehouse
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
WELLS FARGO ADVISORS	CUNA BROKERAGE SERVICES, INC.	Mar 29, 2017	Apr 10, 2017	12	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Sep 4, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to Sep 16, 2025factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Apr 10, 2017 to May 18, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Mar 29, 2017factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 28, 2005 to Jan 3, 2011factForm ADV

Dated events

Occurred
Sep 16, 2025
Advisor changed firm
Wendy M Otterness left Lpl Financial Llc for Wells Fargo Advisors (registered 2025-09-04)
Form ADVobserved 4 days ago