Christopher S. 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.
Christopher Scott Wagner, who also goes by Chris Wagner, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1991. Christopher had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2009 - January 4, 2024
CANDLEWOOD SECURITIES, LLC
November 29, 2007 - February 18, 2009
P & M CORPORATE FINANCE, LLC
February 3, 2003 - July 19, 2007
KPMG CORPORATE FINANCE LLC
November 3, 1998 - November 2, 2001
RBC CAPITAL MARKETS, LLC
November 21, 1997 - June 12, 1998
HOAK BREEDLOVE WESNESKI & CO.
October 16, 1991 - September 29, 1993
RAUSCHER PIERCE REFSNES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CANDLEWOOD SECURITIES, LLC
CRD#: 126042 / SEC#: , 8-65845
Contact information
FINRA licenses (18 States and Territories)
Red Flags
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