Kerry J. 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.
Kerry Jean Wagner, who also goes by Kerry Jean Prete, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1998. Kerry had worked at 2 firms and has passed the 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
August 22, 2011 - February 13, 2013
SMH CAPITAL INVESTMENTS LLC
July 21, 1998 - April 23, 2002
ABN AMRO INCORPORATED
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
SMH CAPITAL INVESTMENTS LLC
CRD#: 24535 / SEC#: , 8-40904
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOYERS ORGANIZATION LLC | OWNER | |
| MOYERS, DWAYNE ALAN | CEO/CCO/FINOP | 1850654 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
