Lori A. Wagner

BROOKSTONE WEALTH ADVISORS

LODI, CA

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CRD#: 5029648

Professional summary

Lori Arlene Wagner, who also goes by Lori Arlene Mcnabb, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Lodi, California.

Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Lori has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Arlene Mcnabb

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.

1) 01/2009 - PRESENT, LORI WAGNER, 1623 MAGIC LANE LODI, CA 95242, OWNER/INSURANCE SALES/MEDICARE SALES - W/ VARIOUS INSURANCE/MEDICARE AGENCIES: GRIP INSURANCE, APPLIED GENERAL AGENCY, HWB INSURANCE AND FINANCIAL SERVICES, VAN BERG & ASSOCIATES, HOURS DEDICATED: 20/WEEK (20/WEEK DURING TRADING HOURS) CHILDREN'S HOME OF STOCKTON; NON INVESTMENT RELATED; PO BOX 7512, STOCKTON, CA 95267; NON PROFIT CHILDREN'S HOME; TREASURER; STARTED 09/2017; 5 HOURS/MONTH DEVOTED; 5 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; HANDLE STANDARD FINANCE NEEDS SUCH AS CHECK WRITING AND DEPOSITS, AND GATHER TAX ITEMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Arlene Wagner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 4, 2013 - Present

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

LODI, CA

Past

December 8, 2009 - December 31, 2012

HBW ADVISORY SERVICES LLC

RIA

CRD#: 143665

SIMI VALLEY, CA

Past

February 3, 2009 - June 2, 2010

HBW SECURITIES LLC

CRD#: 136959

LODI, CA

Past

February 1, 2008 - December 31, 2008

HBW SECURITIES LLC

CRD#: 136959

LODI, CA

Past

February 22, 2006 - January 17, 2008

WORLD GROUP SECURITIES, INC.

CRD#: 114473

LODI, CA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/4/2013)

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: 5/28/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/21/2006

Investment Company Products/Variable Contracts 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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Lori A. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Arlene Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

HBW ADVISORY SERVICES LLC

HBW SECURITIES LLC

HBW SECURITIES LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2009

Series 63

Date: 2/14/2006

Series 6

Date: 2/21/2006

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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