Kevin G. Wangen
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.
Kevin George Wangen, who also goes by Howard Wangen, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - May 5, 2017
THE LEADERS GROUP, INC.
May 23, 2002 - March 13, 2015
PRUCO SECURITIES, LLC.
December 9, 1998 - December 6, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
April 22, 1996 - May 11, 1998
THRIVENT INVESTMENT MANAGEMENT INC.
November 29, 1995 - March 15, 1996
PRUCO SECURITIES, LLC.
June 9, 1987 - November 10, 1987
THRIVENT INVESTMENT MANAGEMENT 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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