Carlie M. Wagner

ATHENE SECURITIES

West Des Moines, IA 50266

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CRD#: 4632404

Professional summary

Carlie Marie Wagner, who also goes by Carlie Marie Anderson, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Carlie is registered as a RR (Registered Representative) and started their career in finance in 2003. Carlie has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlie Marie Anderson

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) - BD

Click below to view Carlie Marie Wagner's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 17, 2020 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

March 3, 2016 - July 1, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DES MOINES, IA

Past

May 31, 2011 - March 3, 2016

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

Past

April 21, 2006 - May 24, 2011

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 2, 2005 - March 16, 2006

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

March 22, 2004 - October 4, 2004

WORLD TREND FINANCIAL PLANNING SERVICES, LTD.

CRD#: 28289

CEDAR RAPIDS, IA

Past

January 22, 2004 - March 3, 2004

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

July 21, 2003 - January 23, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

State Registrations and Notice Filings

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

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

Iowa
(11/17/2020)

Exams

State Security Law Exam

Series 63

Date: 11/14/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/18/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Carlie M. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlie Marie Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

DIRECTED SERVICES LLC

VOYA FINANCIAL ADVISORS, INC.

AVANTAX INVESTMENT SERVICES, INC.

WORLD TREND FINANCIAL PLANNING SERVICES, LTD.

SII INVESTMENTS, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2005

Series 6

Date: 7/18/2003

Series 24

Date: 5/26/2006

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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