Alan Philip Wagner
Professional Summary
Alan Philip Wagner, who also goes by Alan P Wagner, is a registered financial advisor currently at PANMURE LIBERUM INC located in New York, New York. Alan is registered as a RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 87, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan P Wagner
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
LIBERUM | PANMURE LIBERUM INC | LIBERUM CAPITAL INC
Contact Information
Main Address
575 Fifth Avenue 20th Floor, New York, NY 10017Mailing Address
575 Fifth Avenue 20th Floor, New York, NY 10017Phone Number
(212) 596-4800Established
New York since 02/20/2008Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANMURE LIBERUM CAPITAL LIMITED | SOLE OWNER | — |
| PLANT, JULIAN HUGH BENEDICT | CHIEF EXECUTIVE OFFICER | 1848356 |
| RICCI, RICHARD THOMAS | DIRECTOR | 2575976 |
| VIGLIAROLO, JOSEPH CHARLES | FINOP, CFO, PFO, TREASURER | 4880434 |
| WAGNER, ALAN PHILIP | PRINCIPAL OPERATIONS OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | RESEARCH PRINCIPAL | 3095126 |
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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.
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State Registrations and Notice Filings
(9/2/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Apr 2012About the Series 87 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2005About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2005About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alan Philip Wagner's CRS (Customer Relationship Summary).
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