Sandra 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.
Sandra Lynn Wagner, who also goes by Sandra Lynn Troy, Sandra Lynn Troy Wagner, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1985. Sandra had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
September 2, 2014 - December 31, 2015
L.M. KOHN & COMPANY
August 29, 2014 - December 31, 2015
L.M. KOHN & COMPANY
May 9, 2012 - September 11, 2012
STRATEGIC ADVISERS LLC
May 8, 2012 - September 7, 2012
FIDELITY BROKERAGE SERVICES LLC
January 28, 2010 - June 24, 2010
STABLE TWO FINANCIAL LLC
March 27, 2009 - August 2, 2010
MUTUAL SECURITIES, INC.
January 1, 2008 - February 21, 2009
FIDELITY BROKERAGE SERVICES LLC
January 27, 1994 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
October 2, 1989 - January 18, 1994
FIDELITY BROKERAGE SERVICES LLC
August 30, 1985 - March 22, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
July 24, 1985 - August 15, 1985
MARION BASS SECURITIES CORPORATION
Primary Firm SEC Registration
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
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
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
