Richard G. Wagner

Some features on this profile are disabled

CRD#: 4971458

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.

Richard Gordon Wagner, who also goes by Rich Gordon Wagner, Richard G. Wagner, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich Gordon Wagner | Richard G. 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.

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

September 16, 2014 - April 26, 2016

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

MAITLAND, FL

Past

June 12, 2008 - June 10, 2013

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

LAKE MARY, FL

Past

June 5, 2008 - June 10, 2013

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

LAKE MARY, FL

Past

February 20, 2007 - May 28, 2008

WADDELL & REED

RIA

CRD#: 866

MAITLAND, FL

Past

February 8, 2007 - May 28, 2008

WADDELL & REED

CRD#: 866

MAITLAND, FL

Past

July 18, 2006 - January 29, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

ORLANDO, FL

Past

May 26, 2006 - January 29, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

ORLANDO, FL

Past

September 20, 2005 - May 24, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ORLANDO, FL

Past

August 22, 2005 - May 24, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

W&S BROKERAGE SERVICES, INC.

COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA

Registered Investment Advisory firm - SEC (9/6/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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 66

Date: 9/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/2005

General Securities Representative Examination

Current Firm

W&S BROKERAGE SERVICES, INC.

COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA

Registered Investment Advisory firm - SEC (9/6/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

400 Broadway, Cincinnati, OH 45202

Mailing Address

400 Broadway Ms-03, Cincinnati, OH 45202

Phone number

(513) 629-1055

Established

Ohio since 05/21/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

W&S WEALTH SOLUTIONS BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY	OWNER
BRODIE, TROY DALE	PRESIDENT	1924559
DELUCA, JAMES JOSEPH	VP, MARKETING	5420948
HERRON, SARAH SPARKS	CORPORATE SECRETARY	6905684
JOHNSON, JAY VINCENT	TREASURER	6607547
LOVELESS, MATTHEW WILLIAM	VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION	5657647
LUEBBE, GREGORY MICHAEL	ASSISTANT VICE PRESIDENT	2924719
MCGRUDER, JILL TRIPP	DIRECTOR	1221720
MOURNE, DOUGLAS EDWARD	AVP, BROKERAGE OPERATIONS	2999021
NIEMEYER, JONATHAN DAVID	DIRECTOR	5863603
SCOTT, SHAWN MICHAEL	CHIEF COMPLIANCE OFFICER	4673623
STEARNS, TIMOTHY STEVEN	VP, COMPLIANCE OFFICER	1327230
WIEDENHEFT, TERRIE ANN	SENIOR VICE PRESIDENT AND CFO	2619213
WITTMAN, SCOTT JOSEPH	VP TAX	7679752
WUEBBLING, DONALD JOSEPH	DIRECTOR	473438

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 175,814,665

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard G. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

WADDELL & REED

WADDELL & REED

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

W&S BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2005

SIE

Date: 4/26/2016

Series 31

Date: 9/22/2005

Series 7

Date: 8/20/2005

Current Firm

W&S BROKERAGE SERVICES, INC.

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

W&S BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors