Gregory E. 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.
Gregory Edward Wagner was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1992. Gregory had worked at 12 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE, Series 55, 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
October 13, 2023 - May 6, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 25, 2023 - May 6, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 10, 2023 - August 22, 2023
AXIOM INVESTMENT MANAGEMENT LLC
January 5, 2023 - August 22, 2023
AXIOM CAPITAL MANAGEMENT, INC.
December 3, 2016 - May 10, 2018
ASHTON STEWART & CO., INC.
June 26, 2012 - July 27, 2015
ITAU BBA USA SECURITIES, INC.
September 11, 2009 - April 3, 2012
NATWEST MARKETS SECURITIES INC.
July 19, 2001 - September 11, 2009
ABN AMRO INCORPORATED
July 1, 1998 - March 1, 2002
ABN AMRO SECURITIES LLC
May 6, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
May 7, 1993 - May 8, 1996
LEHMAN BROTHERS INC.
May 4, 1992 - January 22, 1993
J. GREGORY & COMPANY, INC.
April 8, 1992 - November 4, 1992
J. M. WALKER INTERNATIONAL, INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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: 4/4/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/5/2023
General Securities Representative ExaminationSeries 55
Date: 2/28/2002
Limited Representative-Equity Trader ExamCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
