Thomas G. Wagner

Some features on this profile are disabled

CRD#: 2294909

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.

Thomas Gates Wagner, who also goes by Tom Wagner, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Wagner

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 10, 2016 - December 12, 2016

SUMMIT WEALTH GROUP LLC

RIA

CRD#: 282205

WHITE RIVER JUNCTION, VT

Past

January 19, 2016 - October 14, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

White River Junction, VT

Past

March 28, 2005 - January 27, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WILDER, VT

Past

November 11, 2003 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

WHITE RIVER JUNCTION, VT

Past

November 11, 2003 - January 27, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WHITE RIVER JUNCTION, VT

Past

March 27, 1998 - November 13, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

BEDFORD, NH

Past

December 15, 1992 - November 12, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

SUMMIT WEALTH GROUP LLC

CRD#: 282205 / SEC#: 801-107026

RIA

Registered Investment Advisory firm - (12/23/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 4/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/24/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1998

General Securities Principal Examination

Current Firm

SUMMIT WEALTH GROUP LLC

CRD#: 282205 / SEC#: 801-107026

RIA

Registered Investment Advisory firm - (12/23/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

20b Hampton Road, Exeter, NH 03833

Mailing Address

Phone number

(802) 295-5300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1,401
AUM (Assets Under Management)	$ 656,268,782

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas G. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

SUMMIT WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/1998

Series 63

Date: 11/24/1992

SIE

Date: 10/14/2016

Series 7

Date: 4/14/1997

Series 6

Date: 11/24/1992

Series 24

Date: 10/15/1998

Current Firm

SUMMIT WEALTH GROUP LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH GROUP LLC

TRUST BUT VERIFY

Similar Advisors