Sally R. 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.
Sally Rae Wagner, who also goes by Sally R Veitch, Sally Rae Veitch, was a registered financial professional .
Sally is a previously registered financial professional and started their career in finance in 1998. Sally had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - December 31, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - January 3, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
April 19, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 28, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
September 15, 2005 - March 30, 2010
M&I FINANCIAL ADVISORS, INC
April 5, 1999 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
November 12, 1998 - January 18, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
October 29, 1998 - January 18, 1999
IDS LIFE INSURANCE COMPANY
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
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
