Arthur F. Wagner
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.
Arthur Frank Wagner, who also goes by Frank Wagner, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1974. Arthur had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 000, Series 1, Series 51, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - July 24, 2019
DOMINION PORTFOLIO MANAGEMENT, INC.
October 25, 2017 - December 1, 2022
DOMINION INVESTOR SERVICES, INC.
May 1, 2003 - September 18, 2017
WFG ADVISORS, LP
January 12, 1999 - August 19, 2004
WFG INVESTMENTS, INC.
January 11, 1999 - September 18, 2017
WFG INVESTMENTS, INC.
June 26, 1996 - November 12, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 5, 1995 - June 20, 1996
A. G. EDWARDS & SONS, INC.
May 15, 1990 - July 17, 1995
UBS FINANCIAL SERVICES INC.
August 12, 1981 - June 11, 1990
MORGAN STANLEY DW INC.
September 26, 1978 - August 24, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
DOMINION PORTFOLIO MANAGEMENT, INC.
CRD#: 106918 / SEC#: 801-115280
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 8/8/1986
Foreign Currency Options ExaminationSeries 5
Date: 11/21/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 000
Date: 4/28/1974
General Securities Principal ExaminationSeries 1
Date: 4/10/1974
Registered Representative ExaminationSeries 8
Date: 4/8/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DOMINION PORTFOLIO MANAGEMENT, INC.
CRD#: 106918 / SEC#: 801-115280
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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