Stephen H. Wagner

INTEGRITY WEALTH ADVISORS

VENTURA, CA 93001

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CRD#: 2193508

Professional summary

Stephen Hans Wagner, CFP® is a registered financial advisor currently at INTEGRITY WEALTH ADVISORS, LLC located in Ventura, California and LPL FINANCIAL LLC located in Ventura, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

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.

1. 1/21/2016 - Wagner Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1992. 2. 1/21/2016 - MIDLAND NATIONAL, ALLIANZ, JNL FIXED, TRANSAMERICA - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 8/7/2015 - 10 Hours Per Month - Time Spent 10% - Fixed insurance-life and long term. 3. 1/21/2016 - Stub Hub - Not Investment Related - sports - Started 4/22/13 - Time Spent 0% - Income from selling sporting tickets. 4. 3/28/2018 - DuPuis Ventures, LLC - Not Investment Related - Address: N/A - Business Owner - Limited Partner - 0 Hours Per Month. 5. 4/26/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/20/2018 - 1 Hours Per Month During Securities Trading. 6. 01/16/2019 - No business name - Investment related - 196 South Fir Street, Suite 140, Ventura, CA 93001 - Real Estate Rental - start date:01/01/2019 - I am renting an office in our suite to a CPA. 7. 4/4/2019 - Integrity Wealth Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 04/01/2019 - 40 Hours Per Month/25 Hours During Securities Trading - I provide investment advisory services through Integrity Wealth Advisors Inc., an independent investment advisor firm. I started this business activity on 4/4/2019. I expect to spend approximately 40 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 3/30/2023 - No Business Name - Not Investment Related - Ojai CA 93023 - Real Estate Rental - Owner - Start Date - 07/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading. 9. 10/11/2023: Integrity Wealth Advisors Inc; At Reported Business Location(s); Registered Investment Advisor DBA; Owner; Inv. related; start date 4/1/2019; 40hrs/mo.; 25hrs during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hans Wagner'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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

February 1, 2016 - Present

INTEGRITY WEALTH ADVISORS, LLC

Office #1: 196 S. Fir St. Suite 140, Ventura, CA 93001

RIA

CRD#: 281708

VENTURA, CA

Current

January 22, 2016 - Present

LPL FINANCIAL LLC

Office #1: 196 S Fir St Ste 140, Ventura, CA 93001Office #2: 205 S. Signal Street, Ojai, CA 93023

RIA

CRD#: 6413

VENTURA, CA

Past

September 5, 2017 - January 31, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

VENTURA, CA

Past

September 4, 2009 - February 11, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

VENTURA, CA

Past

September 4, 2009 - February 11, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

VENTURA, CA

Past

July 8, 1997 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

VENTURA, CA

Past

October 19, 1992 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

VENTURA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTEGRITY WEALTH ADVISORS, LLC

CRD#: 281708 / SEC#: 801-113205

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(5/1/2019)

Alaska
(10/3/2016)

Arizona
(1/22/2016)

Arkansas
(10/11/2016)

California
(1/22/2016)

IAR

California
(2/1/2016)

Colorado
(4/8/2016)

Connecticut
(1/22/2016)

District of Columbia
(1/22/2016)

Florida
(1/22/2016)

Georgia
(5/1/2019)

Hawaii
(4/21/2016)

Idaho
(1/22/2016)

Illinois
(5/1/2019)

Indiana
(2/16/2016)

Iowa
(5/7/2025)

Kansas
(10/5/2016)

Massachusetts
(4/12/2016)

Michigan
(1/22/2016)

Minnesota
(11/24/2023)

Mississippi
(6/14/2019)

Missouri
(4/8/2016)

Montana
(5/27/2016)

Nevada
(1/22/2016)

New Jersey
(11/8/2019)

New Mexico
(1/22/2016)

New York
(1/22/2016)

North Carolina
(8/2/2016)

Ohio
(9/30/2016)

Oregon
(1/22/2016)

Pennsylvania
(6/14/2019)

Rhode Island
(1/22/2016)

South Carolina
(1/22/2016)

South Dakota
(9/8/2017)

Tennessee
(1/22/2016)

Texas
(1/22/2016)

IAR

Texas
(4/29/2016)

Utah
(5/1/2019)

Vermont
(1/22/2016)

Virginia
(1/26/2016)

Washington
(1/22/2016)

Wisconsin
(10/23/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/25/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/15/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

CRD#: 281708 / SEC#: 801-113205

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2018 Terminated)

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Contact information

Main Address

196 S. Fir St. Suite 140, Ventura, CA 93001

Mailing Address

Phone number

(805) 339-0760

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IWA ADV PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,269
AUM (Assets Under Management)	$ 274,915,294

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen H. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Hans Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

INTEGRITY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1994

Series 6

Date: 10/15/1992

Series 24

Date: 8/9/2000

FINRA

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRITY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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