Andrea J. 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.
Andrea Joyce Wagner, who also goes by A Joyce Wagner, Joyce Wagner, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1983. Andrea had worked at 8 firms and has passed the Series 63, Series 7, Series 14, Series 8, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1995 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
March 27, 1995 - March 31, 1995
STOWE INVESTMENT COMPANY
November 15, 1993 - July 13, 2001
DMG SECURITIES, INC.
October 25, 1993 - January 2, 2001
JWGENESIS SECURITIES, INC.
February 11, 1991 - November 8, 1999
JW GENESIS CLEARING CORP.
January 29, 1986 - February 14, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 26, 1984 - January 1, 1986
BRODIS SECURITIES INCORPORATED
November 23, 1983 - October 26, 1984
FIRST AFFILIATED SECURITIES, INC.
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
Series 8
Date: 8/7/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JWGENESIS FINANCIAL GROUP, INC
CRD#: 38166 / SEC#: , 8-48277
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JWGENESIS FINANCIAL, INC | HOLDING COMPANY | |
| LEEDS, MARSHALL TODD | PRESIDENT, CEO | 1014569 |
| CAROTHERS, SCOTT WILLIAM | CFO | 1899247 |
| GLASER, GREGG STEVEN | EXEC VP, DIRECTOR, TREASURER | 1527784 |
| LEVITT, ROBERT WILLIAM | CCO, SROP, CROP | 2576873 |
| MARKS, JOEL ELLIOT | DIRECTOR | 1189929 |
| SCARLETT, CHARLES E | EXEC VP, SECRETARY | 2130231 |
| WEINBERG, ARNOLD NATHAN | COO | 461717 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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