Charles 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.
Charles Richardson Wagner, who also goes by Chuck Wagner, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 16 firms and has passed the Series 63, SIE 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
March 11, 2016 - September 20, 2019
CONCORDE INVESTMENT SERVICES, LLC
January 7, 2013 - March 18, 2014
ODEON CAPITAL GROUP LLC
August 9, 2011 - June 12, 2012
SANDLAPPER SECURITIES, LLC
June 17, 2009 - June 1, 2011
GRIFFIN CAPITAL SECURITIES, LLC
April 2, 2009 - April 28, 2009
CABIN SECURITIES, INC.
April 23, 2007 - February 10, 2009
STIRA CAPITAL MARKETS GROUP, LLC
March 1, 2007 - April 18, 2007
AFA FINANCIAL GROUP, LLC
July 26, 2006 - February 12, 2007
CCO CAPITAL, LLC
December 14, 2004 - July 21, 2006
INLAND SECURITIES CORPORATION
February 23, 2004 - August 27, 2004
SLATE CAPITAL LLC
February 19, 2003 - November 13, 2003
CION SECURITIES, LLC
April 25, 2002 - February 14, 2003
HARTFIELD, TITUS & DONNELLY, LLC
August 18, 1999 - April 25, 2002
PERSHING LLC
March 19, 1999 - August 16, 1999
BANC OF AMERICA SECURITIES LLC
November 10, 1998 - December 21, 1998
GLEACHER & COMPANY SECURITIES, INC.
September 10, 1996 - September 3, 1998
DRIZOS INVESTMENTS, 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
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
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.
