Larry W. Yager
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.
Larry Wayne Yager was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 2009. Larry had worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 99TO, Series 52TO, Series 7, Series 53, Series 14, Series 24, Series 28 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2023 - December 31, 2024
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
July 23, 2019 - August 17, 2021
G.F. INVESTMENT SERVICES, LLC
October 21, 2017 - September 27, 2019
DOO FINANCIAL US, INC.
June 5, 2017 - April 24, 2025
CAPE INVESTMENT ADVISORY, INC.
May 2, 2017 - December 31, 2024
CAPE SECURITIES INC.
January 6, 2011 - May 18, 2015
CAPE INVESTMENT ADVISORY, INC.
August 5, 2009 - May 18, 2015
CAPE SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/4/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 28
Date: 10/4/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
CRD#: 7388 / SEC#: , 8-21584
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
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