Alan P. Wagner
Professional summary
Alan Philip Wagner, who also goes by Alan P Wagner, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Philip Wagner's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2011 - Present
PANMURE LIBERUM INC
Office #1: 575 Fifth Avenue 20th Floor, New York, NY 10017Office #2: 575 Fifth Avenue 20th Floor, New York, NY 10017August 31, 2010 - August 22, 2011
WORDEN CAPITAL MANAGEMENT LLC
August 29, 2008 - September 30, 2008
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
September 12, 2006 - October 18, 2006
HSBC SECURITIES (USA) INC.
July 8, 2005 - October 18, 2006
HSBC SECURITIES (USA) INC.
April 7, 2005 - May 25, 2005
VALORES FINAMEX INTERNATIONAL, INC.
December 11, 2003 - July 12, 2004
MONEX SECURITIES, INC.
April 21, 1999 - May 10, 2002
TD AMERITRADE, 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
(9/2/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PANMURE LIBERUM INC
CRD#: 148135 / SEC#: , 8-67976
Contact information
FINRA licenses (1 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 | RESEARCH PRINCIPAL | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
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.
