Ralph E. Wagner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Earl Wagner was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1983. Ralph had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2018 - February 1, 2022
CETERA INVESTMENT ADVISERS LLC
November 5, 2018 - February 1, 2022
CETERA INVESTMENT SERVICES LLC
May 31, 2018 - November 6, 2018
CUNA BROKERAGE SERVICES, INC.
May 24, 2018 - November 6, 2018
CUNA BROKERAGE SERVICES, INC.
July 18, 2016 - March 20, 2018
CUSO FINANCIAL SERVICES, L.P.
July 15, 2016 - March 20, 2018
CUSO FINANCIAL SERVICES, L.P.
June 15, 2015 - July 7, 2016
INVEST FINANCIAL CORPORATION
April 10, 2015 - July 7, 2016
INVEST FINANCIAL CORPORATION
April 21, 2009 - January 20, 2015
CUNA BROKERAGE SERVICES, INC.
April 16, 2009 - January 20, 2015
CUNA BROKERAGE SERVICES, INC.
February 23, 2009 - April 7, 2009
LIFEMARK SECURITIES CORP.
June 8, 2007 - December 31, 2008
LONGVIEW WEALTH MANAGEMENT
January 3, 2007 - December 31, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 15, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
February 8, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
March 14, 2005 - January 20, 2006
EQUITABLE ADVISORS, LLC
January 21, 2005 - March 4, 2005
OSAIC FS, INC.
June 15, 2002 - June 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
February 28, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 28, 1996 - March 9, 2001
EQUITABLE ADVISORS, LLC
October 26, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 26, 1988 - February 2, 1996
MONY SECURITIES CORPORATION
February 13, 1987 - September 29, 1988
NEW ENGLAND SECURITIES
February 18, 1983 - March 4, 1987
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
