Alexander D. Wagmaister
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.
Alexander Daniel Wagmaister, who also goes by Alex Daniel Wagmaister, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2003. Alexander had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2015 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2015 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2012 - December 2, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 2, 2014
J.P. MORGAN SECURITIES LLC
June 5, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 14, 2010 - May 21, 2012
U.S. BANCORP INVESTMENTS, INC.
September 15, 2009 - March 22, 2010
CHASE INVESTMENT SERVICES CORP.
October 26, 2005 - October 31, 2008
BAY MUTUAL FINANCIAL, LLC
November 15, 2004 - October 31, 2005
NEWPORT COAST SECURITIES, INC.
May 19, 2004 - September 15, 2004
CHICAGO INVESTMENT GROUP, LLC
May 30, 2003 - October 27, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
