Eric K. Wagner
Professional summary
Eric Kurt Wagner is a registered financial professional currently at DC ADVISORY located in San Francisco, California.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Kurt Wagner's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2018 - Present
DC ADVISORY
Office #1: 425 California Street Suite 1900, San Francisco, CA 94104April 17, 2013 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
September 22, 2009 - April 16, 2013
MONTGOMERY & CO., LLC
April 27, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
December 7, 1999 - April 20, 2007
LEHMAN BROTHERS 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
(3/1/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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