Thomas 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.
Thomas Eugene Wagner, CFP® was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 8 firms and has passed the Series 63 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
March 14, 1997 - November 8, 2001
G. F. TATE & CO., INC.
September 12, 1996 - February 19, 1997
TRADEUP SECURITIES, INC.
June 8, 1994 - September 25, 1996
PRESTIGE FINANCIAL CENTER, INC.
January 23, 1994 - March 21, 1994
INVEST FINANCIAL CORPORATION
March 2, 1990 - January 25, 1994
AMERICA INVEST ONLINE, INC.
June 23, 1989 - December 31, 1989
ESCALATOR SECURITIES, INC.
November 3, 1987 - July 11, 1989
MORGAN STANLEY DW INC.
February 26, 1987 - November 16, 1987
SWARTWOOD, HESSE 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
G. F. TATE & CO., INC.
CRD#: 35587 / SEC#: , 8-46746
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
