Richard T. 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.
Richard Tobitt Wagner, who also goes by Toby Wagner, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 3 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1994 - April 13, 1995
SECURITIES RESOLUTION CORPORATION
July 17, 1986 - February 10, 1988
SOUTHEASTERN MUNICIPAL BONDS OF NORTH FLORIDA, INC.
March 30, 1977 - May 11, 1992
SOUTHEASTERN CAPITAL GROUP, 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
F04
Date: 3/22/1978
Financial Principal ExaminationSeries 40
Date: 7/28/1977
Registered Principal ExaminationCurrent Firm
SECURITIES RESOLUTION CORPORATION
CRD#: 7119 / SEC#: , 8-20118
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 4 |
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.
