Dennis W. Wagoner
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.
Dennis Wayne Wagoner, who also goes by Dennis W Wagoner, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1972. Dennis had worked at 11 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 42 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - January 3, 2022
VINING-SPARKS IBG, LLC
January 3, 2006 - August 4, 2006
SANDERS MORRIS LLC
July 27, 1998 - January 4, 2006
ADVEST, INC.
August 19, 1996 - June 2, 1998
FIRST CLEARING, LLC
August 18, 1994 - August 21, 1996
MERIDIAN SECURITIES, INC.
July 25, 1987 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
September 25, 1980 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
June 11, 1980 - November 11, 1980
CIBC WORLD MARKETS CORP.
March 14, 1978 - April 10, 1980
UMIC, INC.
September 10, 1976 - April 18, 1978
MARCUS, STOWELL & BEYE, INC.
December 17, 1974 - September 20, 1976
F. L. LAWRENCE & COMPANY, INC.
February 14, 1972 - April 27, 1973
SELLERS INVESTMENT COMPANY, INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 42
Date: 6/2/1999
Registered Options Representative ExaminationSeries 1
Date: 2/11/1972
Registered Representative ExaminationCurrent Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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