Jack T. Wagler
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.
Jack Thoreau Wagler was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1997. Jack had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2013 - December 4, 2018
ERNST & YOUNG CAPITAL ADVISORS, LLC
April 30, 2010 - September 27, 2011
PNC CAPITAL MARKETS LLC
July 1, 2003 - August 21, 2007
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 31, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 1, 1998 - August 17, 1999
BANC OF AMERICA SECURITIES LLC
February 19, 1997 - October 1, 1998
BANCAMERICA SECURITIES, 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
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
