Kenneth L. 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.
Kenneth Lee Wagner was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2008 - April 15, 2010
FUNDS PLACEMENT GROUP, LLC
September 6, 2006 - January 28, 2020
WILLIAM BLAIR
June 1, 2006 - July 31, 2006
WINDWARD SECURITIES CORPORATION
May 30, 2006 - September 1, 2006
OSAIC FS, INC.
November 1, 2005 - September 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 1, 2005 - September 1, 2006
OSAIC FA, INC.
April 20, 1983 - September 23, 2005
J.J.B. HILLIARD, W.L. LYONS, LLC
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: 9/27/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FUNDS PLACEMENT GROUP, LLC
CRD#: 145840 / SEC#: , 8-67755
Contact information
Documents
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.
