SW
Stephen J. Wagenbach
INVESCO ADVISERS
Fairfield, CT
Some features on this profile are disabled
CRD#: 5482002
SW
Professional summary
Stephen John Wagenbach, who also goes by Steve Wagenbach, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Fairfield, Connecticut and INVESCO DISTRIBUTORS, INC. located in Charlestown, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Wagenbach
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) FAIRFIELD SQUASH CLUB; NOT INVESTMENT RELATED; 2074 BRONSON ROAD, FAIRFIELD, CT 06824; FOSTER INTEREST IN THE SPORT OF SQUASH BY ORGANIZING AND OPERATING A LOCAL CLUB FOR PUBLIC SCHOOL STUDENTS FROM MIDDLE SCHOOL THROUGH HIGH SCHOOL; CO-HEAD; START: 04/2017; 15 HRS/MO, NOT DURING TRADING HOUR; ORGANIZE THE TEAM, COMMUNICATE WITH PARENTS OF PLAYERS, ATTEND PRACTICES AND MATCHES AND INTERFACE WITH PUBLIC SCHOOL LEAGUE REPRESENTATIVES. (2)ASPETUCK LAND TRUST; NOT INVESTMENT RELATED; P.O. BOX 444, WESTPORT, CT 06881; IT IS A NON-PROFIT MEMBERSHIP ORGANIZATION WHOSE MISSION IS THE PRESERVATION AND CONSERVATION OF OPEN SPACE, INCLUDING FARM AND FOREST LAND, AND THE NATURAL RESOURCES LOCATED THEREON, PRIMARILY IN THE TOWNS OF EASTON, WESTON, FAIRFIELD AND WESTPORT, FOR THE BENEFIT AND EDUCATION OF THE PUBLIC; TRAIL STEWARD; START: 09/2017; 6 HRS/MO NOT DURING TRADING HOURS; MAINTAIN ONE OF THE TRUST'S LAND PARCELS INCLUDING TRAIL MAINTENANCE AND INVASIVE SPECIES CONTROL.(3)PLUNKETT LAKE ASSOCIATION; NOT INVESTMENT RELATED; HINSDALE POST OFFICE, HINSDALE, MASSACHUSETTS 01235, USA; HOMEOWNER'S ASSOCIATION TO FOSTER COMMUNICATION AMONGST PROPERTY OWNERS AND THE BROADER COMMUNITY; VOLUNTEER MEMBER OF THE BOARD; START: 06/2019; 02HRS/MO, NOT DURING TRADING HOURS; INTERACT WITH HOMEOWNERS TO UNDERSTAND THEIR CONCERNS AND OBJECTIVES FOR THE COMMUNITY; RELATE THOSE TO BROADER BOARD; ASSIST IN COMMUNICATIONS WITH THE TOWN AND RELATED CONSITUENTS.(4) FAIRWEST PUBLIC SCHOOL SQUASH LEAGUE ASSOCIATION; NOT INVESTMENT RELATED; 11 LINWOOD AVE, RIVERSIDE, CT 06878-1929, USA; TO FURTHER THE SPORT OF SQUASH FOR PUBLIC SCHOOL STUDENTS THROUGHOUT THE GREATER FAIRFIELD COUNTY, CT AND WESTCHESTER COUNTY, NY AREA; SECRETARY AND BOARD MEMBER REPRESENTING FAIRFIELD SQUASH CLUB; START: 06/2016; 02 HRS/MO, NOT DURING TRADING HOURS; REPRESENT THE INTERESTS OF THE FAIRFIELD SQUASH CLUB AT THE LEAGUE LEVEL AND HELP GUIDE THE OVERALL LEAGUE AND PROGRAMS, CO-MANAGE THE MIDDLE SCHOOL PROGRAM AND SEASON OF COMPETITION. (5) 203 SQUASH ASSOCIATION; NOT INVESTMENT RELATED; 1771 POST ROAD EAST, BOX #116, WESTPORT, CT 06880-5606, USA; FURTHER THE JUNIOR SQUASH COMMUNITY IN WESTPORT, FAIRFIELD AND SURROUNDING COMMUNITIES; REPRESENT PUBLIC SCHOOL SQUASH WITHIN THE COMMUNITY; START: 08/2017; 04 HRS/MO, 01 HR DURING TRADING HOURS; AS PRESIDENT OF THE ORGANIZATION, MY ROLE IS COLLABORATE WITH LOCAL CLUBS, SQUASH PROS, OTHER PROGRAMS AND THE LOCAL LEAGUE TO INCREASE INTEREST IN SQUASH AND PROVIDE OUTLETS FOR YOUTH TO ENJOY THE GAME.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Wagenbach's 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®
NoneExperience
Current
June 11, 2018 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Fairfield, CT
Current
December 18, 2017 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Charlestown, MA
Past
May 8, 2012 - November 15, 2017
COMMONFUND SECURITIES, INC.
BD
CRD#: 43541
WILTON, CT
Past
April 10, 2008 - May 9, 2012
SCHRODER FUND ADVISORS LLC
BD
CRD#: 24129
NEW YORK, 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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/18/2017)
RR
Alaska(12/18/2017)
RR
Arizona(12/18/2017)
RR
Arkansas(12/18/2017)
RR
California(12/18/2017)
RR
Colorado(12/18/2017)
RR
Connecticut(12/18/2017)
RR
Delaware(12/18/2017)
RR
District of Columbia(12/18/2017)
RR
Florida(12/18/2017)
RR
Georgia(12/18/2017)
RR
Hawaii(12/18/2017)
RR
Idaho(12/18/2017)
RR
Illinois(12/18/2017)
RR
Indiana(12/18/2017)
RR
Iowa(12/18/2017)
RR
Kansas(12/18/2017)
RR
Kentucky(12/18/2017)
RR
Louisiana(12/18/2017)
RR
Maine(12/18/2017)
RR
Maryland(12/18/2017)
RR
Massachusetts(12/18/2017)
RR
Michigan(12/18/2017)
RR
Minnesota(12/18/2017)
RR
Mississippi(12/18/2017)
RR
Missouri(12/18/2017)
RR
Montana(12/18/2017)
RR
Nebraska(12/18/2017)
RR
Nevada(12/18/2017)
RR
New Hampshire(12/18/2017)
RR
New Jersey(12/18/2017)
RR
New Mexico(12/18/2017)
RR
New York(12/18/2017)
RR
North Carolina(12/19/2017)
RR
North Dakota(12/18/2017)
RR
Ohio(12/18/2017)
RR
Oklahoma(12/18/2017)
RR
Oregon(12/18/2017)
RR
Pennsylvania(12/18/2017)
RR
Puerto Rico(12/18/2017)
RR
Rhode Island(12/18/2017)
RR
South Carolina(12/18/2017)
RR
South Dakota(12/18/2017)
RR
Tennessee(12/18/2017)
RR
Texas(12/18/2017)
IAR
Texas(6/11/2018)
RR
Utah(12/18/2017)
RR
Vermont(12/18/2017)
RR
Virgin Islands(12/18/2017)
RR
Virginia(12/18/2017)
RR
Washington(12/18/2017)
RR
West Virginia(12/18/2017)
RR
Wisconsin(12/18/2017)
RR
Wyoming(12/18/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
