MW
Michael P. Wagner
FORESIDE FUND SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1699498
MW
Professional summary
Michael Patrick Wagner is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 24, Series 53 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick 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
August 5, 2015 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 155 N. Wacker Suite 4600, Chicago, IL 60606BD
CRD#: 46106
Chicago, IL
Past
November 17, 2004 - June 20, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
CHICAGO, IL
Past
August 6, 2003 - December 31, 2005
JPMORGAN ASSET MANAGEMENT
RIA
CRD#: 107247
CHICAGO, IL
Past
April 18, 1990 - September 19, 1997
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
Past
July 1, 1988 - April 17, 1990
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
Past
August 18, 1987 - February 12, 1988
OBERWEIS SECURITIES, INC.
BD
CRD#: 7739
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/7/2015)
RR
Alaska(8/10/2015)
RR
Arizona(9/1/2015)
RR
Arkansas(8/10/2015)
RR
California(8/5/2015)
RR
Colorado(8/7/2015)
RR
Connecticut(8/6/2015)
RR
Delaware(8/17/2015)
RR
District of Columbia(8/6/2015)
RR
Florida(8/6/2015)
RR
Georgia(8/14/2015)
RR
Hawaii(8/18/2015)
RR
Idaho(8/5/2015)
RR
Illinois(8/6/2015)
RR
Indiana(8/13/2015)
RR
Iowa(8/6/2015)
RR
Kansas(8/14/2015)
RR
Kentucky(8/10/2015)
RR
Louisiana(8/6/2015)
RR
Maine(8/7/2015)
RR
Maryland(8/11/2015)
RR
Massachusetts(8/6/2015)
RR
Michigan(8/7/2015)
RR
Minnesota(8/7/2015)
RR
Mississippi(8/19/2015)
RR
Missouri(8/6/2015)
RR
Montana(8/6/2015)
RR
Nebraska(8/19/2015)
RR
Nevada(8/17/2015)
RR
New Hampshire(8/6/2015)
RR
New Jersey(12/1/2015)
RR
New Mexico(8/10/2015)
RR
New York(8/10/2015)
RR
North Carolina(8/5/2015)
RR
North Dakota(8/7/2015)
RR
Ohio(8/5/2015)
RR
Oklahoma(8/7/2015)
RR
Oregon(8/25/2015)
RR
Pennsylvania(8/6/2015)
RR
Rhode Island(8/5/2015)
RR
South Carolina(8/13/2015)
RR
South Dakota(8/12/2015)
RR
Tennessee(8/14/2015)
RR
Texas(9/11/2015)
RR
Utah(8/6/2015)
RR
Vermont(8/10/2015)
RR
Virginia(8/5/2015)
RR
Washington(8/10/2015)
RR
West Virginia(8/13/2015)
RR
Wisconsin(8/6/2015)
RR
Wyoming(8/7/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
