Leo C. Wagner

1ST FINANCIAL

New Port Richey, FL 34655

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CRD#: 2251146

Professional summary

Leo Charles Wagner III is a registered financial advisor currently at 1ST FINANCIAL LLC located in New Port Richey, Florida.

Leo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Leo has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Charles Wagner III's 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

November 18, 2011 - Present

1ST FINANCIAL LLC

Office #1: 2144 Seven Springs Blvd Suite 406, New Port Richey, FL 34655

RIA

CRD#: 159015

New Port Richey, FL

Past

September 25, 2010 - December 31, 2011

BROKERSXPRESS LLC

RIA

CRD#: 127081

NEW PORT RICHEY, FL

Past

September 14, 2010 - December 31, 2011

BROKERSXPRESS LLC

CRD#: 127081

NEW PORT RICHEY, FL

Past

September 21, 2009 - September 27, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEW PORT RICHEY, FL

Past

July 31, 2008 - September 27, 2010

LPL FINANCIAL LLC

CRD#: 6413

NEW PORT RICHEY, FL

Past

October 22, 2007 - July 9, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

TAMPA, FL

Past

August 9, 2006 - April 2, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

TAMPA, FL

Past

November 10, 2004 - April 6, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

June 1, 1994 - July 20, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

Past

June 22, 1992 - May 19, 1993

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

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.

Highlighted states indicate IAR registrations

IAR

Florida
(11/18/2011)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/14/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/11/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/8/2004

General Securities Representative Examination

Current Firm

1ST FINANCIAL LLC

CRD#: 159015 / SEC#:

Florida

Registered Investment Advisory firm - (11/18/2011 Approved)

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Contact information

Main Address

2144 Seven Springs Blvd Suite 406, New Port Richey, FL 34655

Mailing Address

Phone number

(727) 777-4269

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Leo C. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leo Charles Wagner III's CRS (Customer Relationship Summary).

Certified licenses

Experience

1ST FINANCIAL LLC

BROKERSXPRESS LLC

BROKERSXPRESS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

EDWARD JONES

CHATFIELD DEAN & CO., INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2009

Series 63

Date: 11/11/2004

Series 7

Date: 11/8/2004

Current Firm

1ST FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

1ST FINANCIAL LLC

TRUST BUT VERIFY

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