John C. Wagner

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CRD#: 1531551

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.

John Carl Wagner was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 13, 2010 - October 6, 2017

DELTA ADVISORY GROUP, INC.

RIA

CRD#: 105966

MAITLAND, FL

Past

September 15, 2000 - December 31, 2001

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

December 7, 1998 - May 4, 2000

CLEARING SERVICES OF AMERICA, INC.

CRD#: 23623

ST. LOUIS, MO

Past

December 3, 1997 - April 27, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

August 12, 1986 - November 16, 1989

FIRST ENCO SECURITIES, INC.

CRD#: 15430

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DELTA ADVISORY GROUP, INC.

DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC

CRD#: 105966 / SEC#: 801-126783

RIA

Registered Investment Advisory firm - (1/18/2023 Approved)

Florida

Registered Investment Advisory firm - (11/14/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/15/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (11/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/17/1987

Direct Participation Programs Representative Examination

Current Firm

DELTA ADVISORY GROUP, INC.

DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC

CRD#: 105966 / SEC#: 801-126783

RIA

Registered Investment Advisory firm - (1/18/2023 Approved)

Florida

Registered Investment Advisory firm - (11/14/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/15/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (11/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2023 Terminated)

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Contact information

Main Address

696 N Maitland Avenue, Maitland, FL 32751

Mailing Address

Phone number

(407) 331-9213

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2B DELUCA (3/31/2025)

PART 2B MIRANDA (3/31/2025)

PART 2B SMITH (3/31/2025)

DAG ADV PART 2A MARCH 2025 (3/31/2025)

DAG FORM CRS (3/31/2025)

PART 2B PETSOS (3/31/2025)

DAG AUDITED FINANCIAL STATEMENTS DEC 2024 (3/31/2025)

PART 2B NESTOR (3/31/2025)

Regulatory assets under management

Total Number of Accounts	905
AUM (Assets Under Management)	$ 192,575,198

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.

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Advisor Monitoring

Firm Stability Insights

John C. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

C. J. M. PLANNING CORP.

CLEARING SERVICES OF AMERICA, INC.

UNITED PACIFIC SECURITIES, INC.

FIRST ENCO SECURITIES, INC.

Primary Firm SEC Registration

DELTA ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2009

Series 63

Date: 2/17/1998

Series 7

Date: 12/2/1997

Series 22

Date: 9/17/1987

Current Firm

DELTA ADVISORY GROUP, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA ADVISORY GROUP, INC.

TRUST BUT VERIFY

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