Katherine O. Wagler
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.
Katherine Olivia Wagler, who also goes by Kati Olivia Wagler, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2006. Katherine had worked at 16 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2018 - November 28, 2018
KESTRA ADVISORY SERVICES, LLC
August 27, 2018 - November 28, 2018
KESTRA INVESTMENT SERVICES, LLC
January 11, 2017 - June 26, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 11, 2017 - June 26, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 2, 2015 - December 27, 2016
CRAVENS BROTHERS PRIVATE WEALTH MANAGEMENT LLC
January 21, 2015 - December 16, 2016
WAVECREST SECURITIES LLC
July 16, 2013 - January 14, 2015
WFG ADVISORS, LP
July 16, 2013 - January 14, 2015
WFG INVESTMENTS, INC.
June 9, 2012 - July 23, 2013
UNITED CAPITAL FINANCIAL ADVISORS
June 4, 2012 - July 15, 2013
GIRARD SECURITIES, INC.
July 12, 2010 - September 8, 2010
MIAI, INC.
July 6, 2010 - September 7, 2010
MAPLEWOOD INVESTMENTS, INC.
January 29, 2009 - June 10, 2010
UBS FINANCIAL SERVICES INC.
January 29, 2009 - June 10, 2010
UBS FINANCIAL SERVICES INC.
September 5, 2007 - January 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2007 - January 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2006 - July 20, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 19, 2006 - July 20, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 8, 2006 - October 5, 2006
MORGAN STANLEY DW INC.
March 13, 2006 - October 5, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
