Eric J. 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.
Eric James Wagner was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 7 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
September 9, 2011 - December 31, 2012
W&L CAPITAL MANAGEMENT, LLC
October 7, 2010 - December 31, 2010
W&L CAPITAL MANAGEMENT, LLC
October 1, 2010 - May 12, 2011
GALEN CORPORATION SECURITIES, INC
January 1, 2008 - March 1, 2010
GCC-PROSPECT CORPORATION
November 19, 2003 - July 21, 2010
EVG ASSET MANAGEMENT LLC
January 13, 2001 - December 31, 2002
DEUTSCHE BANK SECURITIES INC.
November 7, 2000 - January 13, 2001
DB ALEX. BROWN LLC
January 18, 1995 - November 3, 2000
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
W&L CAPITAL MANAGEMENT, LLC
CRD#: 153526 / SEC#:
Contact information
Red Flags
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