James A. Wagar
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.
James Avval Wagar, who also goes by James Av Val Wagar, James Wagar, Jim Wagar, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 2 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
July 19, 2016 - May 4, 2022
THOMAS CAPITAL GROUP, INC.
September 5, 1995 - September 13, 1995
WOODBURY FINANCIAL SERVICES, 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
Series 2
Date: 4/30/1996
Non-Member General Securities ExaminationCurrent Firm
THOMAS CAPITAL GROUP, INC.
CRD#: 45180 / SEC#: , 8-50986
Contact information
FINRA licenses (11 States and Territories)
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.
