James C. Wagner

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 4261922

Professional summary

James Carl Wagner JR, who also goes by James Carl Wagner, Jim Carl Wagner Jr, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Carl Wagner | Jim Carl Wagner Jr

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.

WAGS PLACE; Non-Investment Related; Residence, Mason, OH; Other; Part-Owner; Start Date 12/2022; 5 hours per month with no hours per month during trading hours; Part-owner in a dog training, boarding, and grooming business that is managed and operated by my spouse.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2022 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

January 27, 2011 - March 13, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Covington, KY

Past

January 25, 2011 - July 16, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Covington, KY

Past

October 5, 2009 - December 15, 2010

DIRECTED SERVICES LLC

RIA

CRD#: 21675

WEST CHESTER, PA

Past

September 25, 2000 - December 15, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2022)

Kentucky
(1/3/2022)

Ohio
(1/3/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/22/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/16/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James C. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Carl Wagner JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2009

Series 63

Date: 11/21/2000

SIE

Date: 10/1/2018

Series 6

Date: 9/22/2000

Series 26

Date: 12/16/2005

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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