Keith C. 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.
Keith Charles Wagner was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1990. Keith had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2008 - February 11, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 26, 2002 - October 17, 2008
NEUBERGER BERMAN BD LLC
November 9, 2000 - October 17, 2008
NEUBERGER BERMAN BD LLC
May 28, 1996 - October 17, 2008
NEUBERGER BERMAN MANAGEMENT LLC
June 13, 1995 - May 16, 1996
MOMENTUM INDEPENDENT NETWORK INC.
April 15, 1993 - September 29, 1994
PNC CAPITAL MARKETS LLC
October 19, 1990 - February 26, 1993
A. G. EDWARDS & SONS, 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
Current Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
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.
