HW
Harry M. Wagner
ALLEN & COMPANY LLC
New York, NY 10022
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CRD#: 2288171
HW
Professional summary
Harry Maxwell Wagner is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.
Harry is registered as a RR (Registered Representative) and started their career in finance in 1993. Harry has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Harry Maxwell Wagner'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®
NoneExperience
Current
May 19, 2003 - Present
ALLEN & COMPANY LLC
Office #1: 711 Fifth Avenue, New York, NY 10022Office #2: 711 Fifth Avenue, New York, NY 10022BD
CRD#: 1042
New York, NY
Past
March 4, 2003 - May 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 15, 1994 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 2, 1993 - August 17, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/22/2003)
RR
Alaska(5/19/2003)
RR
Arizona(7/10/2003)
RR
Arkansas(5/21/2003)
RR
California(5/19/2003)
RR
Colorado(5/22/2003)
RR
Connecticut(5/19/2003)
RR
Delaware(6/3/2003)
RR
District of Columbia(6/3/2003)
RR
Florida(5/20/2003)
RR
Georgia(12/23/2008)
RR
Hawaii(8/6/2003)
RR
Idaho(5/19/2003)
RR
Illinois(7/2/2003)
RR
Indiana(12/23/2008)
RR
Iowa(5/20/2003)
RR
Kansas(5/21/2003)
RR
Kentucky(5/19/2003)
RR
Louisiana(5/20/2003)
RR
Maine(5/20/2003)
RR
Maryland(5/20/2003)
RR
Massachusetts(5/27/2003)
RR
Michigan(5/20/2003)
RR
Minnesota(5/20/2003)
RR
Mississippi(9/2/2003)
RR
Missouri(5/19/2003)
RR
Montana(6/3/2003)
RR
Nevada(6/24/2003)
RR
New Hampshire(5/23/2003)
RR
New Jersey(5/21/2003)
RR
New Mexico(6/2/2003)
RR
New York(6/28/2003)
RR
North Carolina(5/19/2003)
RR
North Dakota(5/20/2003)
RR
Ohio(5/19/2003)
RR
Oklahoma(5/20/2003)
RR
Oregon(5/27/2003)
RR
Pennsylvania(5/19/2003)
RR
Puerto Rico(5/21/2003)
RR
Rhode Island(5/21/2003)
RR
South Carolina(5/20/2003)
RR
South Dakota(5/20/2003)
RR
Tennessee(7/3/2003)
RR
Texas(5/27/2003)
RR
Utah(5/19/2003)
RR
Vermont(5/20/2003)
RR
Virginia(5/19/2003)
RR
Washington(5/20/2003)
RR
West Virginia(5/20/2003)
RR
Wisconsin(5/20/2003)
RR
Wyoming(5/27/2003)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A&
ALLEN & COMPANY LLC
ALLEN & COMPANY INCORPORATED | ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
711 Fifth Avenue, New York, NY 10022
Mailing Address
711 Fifth Avenue, New York, NY 10022
Phone number
(212) 832-8000
Established
New York since 08/03/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
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.
