James K. Wagner

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CRD#: 4741623

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.

James Kenneth Wagner was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

06/2007 - PRESENT, JK WAGNER FINANCIAL, (THROUGH CREATIVE ONE IMO), OWNER/INSURANCE SALES, HOURS DEDICATED: 25/WEEK DURING TRADING HOURS.

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

April 13, 2022 - November 27, 2024

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Ventura, CA

Past

October 8, 2019 - April 28, 2020

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

Oxnard, CA

Past

January 17, 2019 - September 26, 2019

SPECIALIZED ADVISORS

RIA

CRD#: 299308

Ventura, CA

Past

November 28, 2018 - January 23, 2019

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Ventura, CA

Past

April 19, 2017 - November 15, 2018

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

Oxnard, CA

Past

October 9, 2015 - April 25, 2017

ROYAL FUND MANAGEMENT, LLC

RIA

CRD#: 144434

Ventura, CA

Past

June 10, 2014 - October 12, 2015

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

VENTURA, CA

Past

November 8, 2006 - February 14, 2007

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

Past

February 24, 2004 - November 18, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/2004

General Securities Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

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Advisor Monitoring

Firm Stability Insights

James K. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VIRTUE CAPITAL MANAGEMENT, LLC

SPECIALIZED ADVISORS

SECURE INVESTMENT MANAGEMENT, LLC

VIRTUE CAPITAL MANAGEMENT, LLC

ROYAL FUND MANAGEMENT, LLC

BROOKSTONE WEALTH ADVISORS, LLC

AFA FINANCIAL GROUP, LLC

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2014

Series 63

Date: 3/31/2004

Series 7

Date: 2/20/2004

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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