William 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.
William Michael Wagner III was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 8 firms and has passed the Series 63, Series 65 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 28, 2009 - November 10, 2009
BISHOP, ROSEN & CO., INC.
October 27, 2008 - February 24, 2009
VFINANCE INVESTMENTS, INC
February 19, 2008 - August 7, 2008
AXIOM CAPITAL MANAGEMENT, INC.
February 26, 2004 - February 21, 2008
JESUP & LAMONT SECURITIES CORP
February 18, 2004 - March 1, 2004
AXIOM CAPITAL MANAGEMENT, INC.
March 15, 1995 - August 23, 1995
ALEX. BROWN & SONS INCORPORATED
December 7, 1990 - March 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1987 - December 24, 1990
LEHMAN BROTHERS INC.
January 21, 1986 - March 5, 1987
E. F. HUTTON & COMPANY 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
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 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.
