DW
David A. Wagner
PORTFOLIO MEDICS
Claremont, FL
Some features on this profile are disabled
CRD#: 1681562
DW
Professional summary
David Allen Wagner, who also goes by Dave Wagner, is a registered financial advisor currently at PORTFOLIO MEDICS, LLC located in Claremont, Florida.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Wagner
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.
Financial Market signal provider through Active Investment Management LLC. In this role Mr. Wagner provides investment signals to other Registered Investment Advisors (RIA'S). Since Active Investment Management LLC, only offers trading signals to RIA's, there is no conflict of interest. He spends approximately 80 hours a month during market and non-market hours on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Wagner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 28, 2022 - Present
PORTFOLIO MEDICS, LLC
RIA
CRD#: 145958
Claremont, FL
Past
June 21, 2016 - December 31, 2022
ACTIVE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 284181
CLERMONT, FL
Past
January 8, 2015 - December 31, 2015
RIDGEWAY CONGER ADVISORY SERVICES
RIA
CRD#: 139372
ORLANDO PARK, IL
Past
January 3, 2012 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
RIA
CRD#: 139372
ORLAND PARK, IL
Past
January 3, 2012 - May 26, 2016
RIDGEWAY & CONGER, INC.
BD
CRD#: 113055
ORLAND PARK, IL
Past
June 2, 2006 - May 23, 2012
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
BRIDGEWATER, NJ
Past
April 28, 2003 - June 2, 2006
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
ORLAND PARK, IL
Past
April 16, 2003 - December 31, 2011
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
ORLAND PARK, IL
Past
February 4, 1999 - April 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ORLAND PARK, IL
Past
November 13, 1998 - April 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 10, 1987 - November 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
PM
PORTFOLIO MEDICS, LLC
401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
RIA
Registered Investment Advisory firm - (8/16/2018 Approved)Arizona
Registered Investment Advisory firm - (10/3/2018 Terminated)California
Registered Investment Advisory firm - (5/13/2019 Terminated)Florida
Registered Investment Advisory firm - (10/3/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)Illinois
Registered Investment Advisory firm - (11/18/2011 Terminated)Kentucky
Registered Investment Advisory firm - (10/3/2018 Terminated)Minnesota
Registered Investment Advisory firm - (11/18/2011 Terminated)New York
Registered Investment Advisory firm - (11/18/2011 Terminated)North Carolina
Registered Investment Advisory firm - (10/5/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/3/2018 Terminated)Oregon
Registered Investment Advisory firm - (10/3/2018 Terminated)South Carolina
Registered Investment Advisory firm - (10/3/2018 Terminated)Tennessee
Registered Investment Advisory firm - (10/4/2018 Terminated)Texas
Registered Investment Advisory firm - (10/3/2018 Terminated)Virginia
Registered Investment Advisory firm - (11/13/2015 Terminated)West Virginia
Registered Investment Advisory firm - (11/18/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(10/25/2022)
IAR
Illinois(9/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PM
PORTFOLIO MEDICS, LLC
401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
RIA
Registered Investment Advisory firm - (8/16/2018 Approved)Arizona
Registered Investment Advisory firm - (10/3/2018 Terminated)California
Registered Investment Advisory firm - (5/13/2019 Terminated)Florida
Registered Investment Advisory firm - (10/3/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)Illinois
Registered Investment Advisory firm - (11/18/2011 Terminated)Kentucky
Registered Investment Advisory firm - (10/3/2018 Terminated)Minnesota
Registered Investment Advisory firm - (11/18/2011 Terminated)New York
Registered Investment Advisory firm - (11/18/2011 Terminated)North Carolina
Registered Investment Advisory firm - (10/5/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/3/2018 Terminated)Oregon
Registered Investment Advisory firm - (10/3/2018 Terminated)South Carolina
Registered Investment Advisory firm - (10/3/2018 Terminated)Tennessee
Registered Investment Advisory firm - (10/4/2018 Terminated)Texas
Registered Investment Advisory firm - (10/3/2018 Terminated)Virginia
Registered Investment Advisory firm - (11/13/2015 Terminated)West Virginia
Registered Investment Advisory firm - (11/18/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
27499 Riverview Center Blvd Suite 406, Bonita Springs, FL 34134
Mailing Address
Phone number
(239) 444-1766
Established
Firm type
Fiscal year end
# of Employees
75
SEC notice filing (41 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,702 |
| AUM (Assets Under Management) | $ 552,733,331 |
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.
