Daniel M. 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.
Daniel Michael Wagner was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 6 firms and has passed the Series 63, Series 6 and Series 7 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, 1998 - October 20, 1999
WMA SECURITIES, INC.
January 19, 1987 - July 6, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
January 2, 1987 - January 9, 1987
J. W. GANT & ASSOCIATES, INC.
July 1, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
March 12, 1984 - August 28, 1984
E. F. HUTTON & COMPANY INC
June 24, 1983 - January 17, 1984
MORGAN STANLEY DW 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
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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