Michael T. 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.
Michael Theodore Wagner was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 55 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
July 8, 2021 - July 20, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 10, 2015 - July 12, 2021
FIDELITY BROKERAGE SERVICES LLC
November 9, 2011 - July 10, 2014
DISCERN SECURITIES, INC.
October 5, 2010 - September 13, 2011
AURIGA USA, LLC
November 13, 2009 - June 2, 2010
GENESIS SECURITIES, LLC
May 6, 2009 - May 11, 2009
KAUFMAN BROS., L.P.
January 31, 2005 - March 24, 2009
STANFORD GROUP COMPANY
March 16, 2004 - February 11, 2005
RAYMOND JAMES & ASSOCIATES, INC.
December 18, 2001 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
May 26, 1994 - December 7, 2001
BMO CAPITAL MARKETS CORP.
May 20, 1988 - June 13, 1988
J. T. MORAN & CO., INC.
March 2, 1988 - May 23, 1988
SHERWOOD CAPITAL, 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
Series 55
Date: 12/1/2009
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
