Lucas B. 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.
Lucas Brady Wagler, CFP® was a registered financial professional .
Lucas is a previously registered financial professional and started their career in finance in 1998. Lucas had worked at 3 firms and has passed the Series 65, Series 63, Series 7 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 30, 1998 - May 29, 2014
CLEARPATH WEALTH MANAGEMENT, L.C.
January 27, 1998 - July 30, 1998
ROBERT W. BAIRD & CO. INCORPORATED
January 27, 1998 - July 30, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CLEARPATH WEALTH MANAGEMENT, L.C.
CRD#: 116029 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 195 |
| AUM (Assets Under Management) | $ 63,235,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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