David 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.
David Edouard Wagner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 8 firms and has passed the Series 63, Series 6TO, Series 79TO, SIE, Series 7, 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
October 28, 2019 - August 8, 2025
HOULIHAN LOKEY CAPITAL, INC.
April 25, 2006 - May 7, 2018
NATWEST MARKETS SECURITIES INC.
June 3, 2005 - April 3, 2006
NATIXIS SECURITIES NORTH AMERICA INC.
March 5, 2003 - June 2, 2005
PORTIGON SECURITIES INC.
April 25, 2002 - October 21, 2002
CIBC WORLD MARKETS CORP.
April 28, 1992 - April 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1990 - April 13, 1992
MORGAN STANLEY DW INC.
July 6, 1984 - February 4, 1988
FORESTERS FINANCIAL SERVICES, 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 79TO
Date: 1/31/2020
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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