Cortland D. Wagner
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.
Cortland Dennis Wagner, who also goes by Cortland Wagner, Cory Dennis Wagner, was a registered financial professional .
Cortland is a previously registered financial professional and started their career in finance in 2004. Cortland had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2015 - May 31, 2016
ALLSTATE FINANCIAL SERVICES, LLC
June 27, 2014 - July 16, 2015
STRATEGIC ADVISERS LLC
May 22, 2014 - July 2, 2015
FIDELITY BROKERAGE SERVICES LLC
January 17, 2014 - March 19, 2014
EAGLE FINANCIAL ADVISORS, LLC
August 26, 2013 - March 20, 2014
CALTON & ASSOCIATES, INC.
August 12, 2013 - March 20, 2014
CALTON & ASSOCIATES, INC.
January 17, 2013 - June 7, 2013
LPL FINANCIAL LLC
January 17, 2013 - June 7, 2013
LPL FINANCIAL LLC
February 23, 2011 - January 22, 2013
NEW ENGLAND SECURITIES
January 28, 2011 - January 22, 2013
NEW ENGLAND SECURITIES
April 5, 2010 - January 21, 2011
MML INVESTORS SERVICES, LLC
March 18, 2010 - January 21, 2011
MML INVESTORS SERVICES, LLC
January 8, 2007 - March 1, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
September 20, 2004 - March 1, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
