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DW

David Wagener

ROBINHOOD SECURITIES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 2034678
DW

Professional summary

David Wagener, who also goes by David John Wagener, David Wagener, is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida and ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David John Wagener | David Wagener

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wagener's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 17, 2023 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
BD
CRD#: 287900
Lake Mary, FL
Current

April 17, 2023 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746
BD
CRD#: 165998
Lake Mary, FL
Past

April 26, 2018 - October 31, 2022

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA
Past

February 13, 2014 - April 25, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

November 5, 2009 - July 8, 2013

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
SMITHFIELD, RI
Past

July 14, 2006 - October 9, 2009

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

May 1, 1992 - July 20, 2006

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/27/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/13/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/5/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/7/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/30/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/30/1999
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBINHOOD MARKETS, INC100% OWNER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANPRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event56
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ROBINHOOD FINANCIAL, LLC

CRD#: 165998Lake Mary, FL 32746

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