Unclaimed Profile

Wendy Catherine Bastis

THE PORTOLA GROUP INC·SAN JOSE, California

Series 2Clean record22 years registeredTHE PORTOLA GROUP INC

3150 ALMADEN EXPY, SAN JOSE, CA 95118-1250CRD# 2777376Firm CRD# 105359

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Wendy Catherine Bastis · SAN JOSE, CA

Registration

CRD #2777376 · THE PORTOLA GROUP INC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE PORTOLA GROUP INC

THE PORTOLA GROUP INC

Aug 2003 – Mar 2019

MENLO PARK, CA

Registrations & Exams

FINRA examinations passed

Series 2

Registration record

First registered · August 18, 2003

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE PORTOLA GROUP INC

CRD 105359 · SEC 801-14344

AUM

$47M

Regulatory assets under management

Employees

48 client accounts

Services offered by THE PORTOLA GROUP INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE PORTOLA GROUP INC →

Introduction

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Frequently Asked Questions

What services does Wendy Catherine Bastis offer?

Wendy Catherine Bastis specializes in Financial Planning, Investment Management.

What are Wendy Catherine Bastis's credentials?

Wendy Catherine Bastis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Wendy Catherine Bastis located?

Wendy Catherine Bastis is based in SAN JOSE, California, last registered with THE PORTOLA GROUP INC.

How does Wendy Catherine Bastis charge for services?

Wendy Catherine Bastis's firm is compensated through percentage of aum, subscription fees, other: a flat annual retainer fee (paid quarterly). Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE PORTOLA GROUP INC?

THE PORTOLA GROUP INC has approximately 1 employees and manages $47M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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