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RW

Rees R. Wagner

Some features on this profile are disabled
CRD#: 456495
RW

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.

Rees Russell Wagner was a registered financial professional .

Rees is a previously registered financial professional and started their career in finance in 1969. Rees had worked at 10 firms and has passed the Series 63, Series 3 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2011 - July 17, 2012

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

April 19, 2002 - October 8, 2010

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

March 21, 1996 - April 26, 2002

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

February 29, 1988 - February 16, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

February 28, 1988 - February 16, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 13, 1982 - April 7, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

December 11, 1980 - January 19, 1982

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

January 14, 1980 - October 9, 1980

MULLER AND COMPANY, INC.

BD
CRD#: 2841
Past

March 29, 1977 - January 14, 1980

NEUBERGER SECURITIES CORP.

BD
CRD#: 6079
Past

December 17, 1974 - April 15, 1977

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

January 28, 1974 - December 14, 1974

C. B. RICHARD, ELLIS & CO.

BD
CRD#: 124
Past

October 21, 1969 - January 19, 1973

CLAYTON SECURITIES CORPORATION

BD
CRD#: 1000003

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/17/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 1
Date: 6/20/1969
Registered Representative Examination

Current Firm

SS
SANDGRAIN SECURITIES LLC
SANDGRAIN SECURITIES LLC | SANDGRAIN SECURITIES, INC.

CRD#: 26004 / SEC#: , 8-42262

BD
Terminated by SEC on 09/27/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/31/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KRH AQUISITION LLCSHAREHOLDER
RAFFERTY HOLDINGS LLCSHAREHOLDER
HAY, KATHLEEN RAFFERTYPRESIDENT, CEO5045127
NAPOLITANO, ANTHONY FRIEDCHIEF COMPLIANCE OFFICER
SPRAGUE, STEPHEN PACKARDFINOP2516579

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SANDGRAIN SECURITIES LLC

CRD#: 26004

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