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MW

Michael D. Wagner

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CRD#: 2682815
MW

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.

Michael Dennis Wagner was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 29, 2021 - April 3, 2023

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
Phoenix, AZ
Past

December 3, 2020 - June 25, 2021

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
TEMPE, AZ
Past

December 3, 2020 - June 25, 2021

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
TEMPE, AZ
Past

January 27, 2020 - December 2, 2020

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
SCOTTSDALE, AZ
Past

May 24, 2019 - November 12, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
SCOTTSDALE, AZ
Past

May 24, 2019 - November 12, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

March 6, 2012 - January 3, 2019

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
SCOTTSDALE, AZ
Past

March 1, 2012 - January 3, 2019

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
SCOTTSDALE, AZ
Past

August 7, 2006 - February 10, 2011

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
PHOENIX, AZ
Past

August 7, 2006 - February 10, 2011

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ
Past

May 10, 2002 - August 1, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

April 26, 2000 - December 31, 2001

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

January 1, 1999 - April 5, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 10, 1997 - September 30, 1998

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 31, 1996 - October 21, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 31, 1996 - October 21, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/30/1996
General Securities Representative Examination

Current Firm

GC
GRIFFIN CAPITAL SECURITIES, LLC
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.

CRD#: 37739 / SEC#: , 8-47891

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Phone number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

Disclosures

Regulatory Event2

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.

Company Information

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

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