Jay M. 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.
Jay Matthew Wagner was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1993. Jay had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2008 - August 19, 2014
CUSHMAN & WAKEFIELD SECURITIES, INC.
June 25, 2001 - January 25, 2006
CIBC WORLD MARKETS CORP.
February 24, 1993 - January 3, 1995
TD AMERITRADE, INC.
January 6, 1993 - January 22, 1993
CHATFIELD DEAN & CO., INC.
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
Current Firm
CUSHMAN & WAKEFIELD SECURITIES, INC.
CRD#: 123717 / SEC#: , 8-65606
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUSHMAN & WAKEFIELD, INC. | SHAREHOLDER | |
| WENK, DAVID HOWARD | PRESIDENT/CEO/CCO/FINOP/CFO | 2161339 |
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.
