JW
Jim M. Wagner
SIGNAL SECURITIES
Dallas, TX 75234
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CRD#: 4596321
JW
Professional summary
Jim M Wagner, who also goes by James Mathew Wagner, is a registered financial advisor currently at SIGNAL SECURITIES, INC. located in Dallas, Texas.
Jim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jim has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Mathew Wagner
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jim M Wagner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jim M Wagner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 14, 2013 - Present
SIGNAL SECURITIES, INC.
Office #1: 2727 Lbj Freeway Suite 900, Dallas, TX 75234RIA
BD
CRD#: 15916
Dallas, TX
Current
March 14, 2013 - Present
SIGNAL SECURITIES, INC.
Office #1: 2727 Lbj Freeway Suite 900, Dallas, TX 75234RIA
BD
CRD#: 15916
Dallas, TX
Past
November 3, 2006 - March 19, 2013
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
DALLAS, TX
Past
November 3, 2006 - March 19, 2013
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
DALLAS, TX
Past
April 12, 2004 - November 8, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
April 12, 2004 - November 8, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
DALLAS, TX
Past
February 20, 2003 - April 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT WORTH, TX
Past
December 3, 2002 - April 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Texas(3/14/2013)
IAR
Texas(3/14/2013)
IAR
Virginia(4/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
700 Throckmorton Street, Fort Worth, TX 76102
Mailing Address
700 Throckmorton Street, Fort Worth, TX 76102-5036
Phone number
(817) 877-4256
Established
Texas since 09/24/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
SEC notice filing (15 States and Territories)
FINRA licenses (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,920 |
| AUM (Assets Under Management) | $ 679,084,856 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
