Ralph E. Wagner

LAUREL FINANCIAL GROUP

Pittsburgh, PA 15241

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CRD#: 6050567

Professional summary

Ralph E Wagner IV, who also goes by Ralph Edward Wagner IV, Ralph E Wagner, Ralph Edward Wagner, is a registered financial advisor currently at LAUREL FINANCIAL GROUP INC located in Pittsburgh, Pennsylvania.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ralph has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ralph Edward Wagner Iv | Ralph E Wagner | Ralph Edward 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.

Fixed insurance sales; as of 02/27/2023; 30% of time spent during business hours; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph E Wagner IV'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®

None

Experience

Current

July 11, 2023 - Present

LAUREL FINANCIAL GROUP INC

Office #1: 9 Dorchester Dr, Pittsburgh, PA 15241

RIA

CRD#: 112389

Pittsburgh, PA

Past

June 8, 2023 - April 23, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

PITTSBURGH, PA

Past

March 23, 2023 - April 23, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

PITTSBURGH, PA

Past

July 29, 2022 - March 24, 2023

PFS INVESTMENTS INC.

CRD#: 10111

AMBRIDGE, PA

Past

July 29, 2015 - October 31, 2016

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

August 9, 2012 - January 24, 2013

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

PITTSBURGH, PA

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

Pennsylvania
(7/11/2023)

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: 5/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 7/29/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 4/4/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/29/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LAUREL FINANCIAL GROUP INC

LAUREL FINANCIAL GROUP | LAUREL FINANCIAL GROUP INC

CRD#: 112389 / SEC#: 801-29022

RIA

Registered Investment Advisory firm - (9/27/2011 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/31/2011 Approved)

Texas

Registered Investment Advisory firm - (4/27/2011 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9 Dorchester Dr, Pittsburgh, PA 15241

Mailing Address

Phone number

(412) 831-7800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	453
AUM (Assets Under Management)	$ 99,277,183

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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Advisor Monitoring

Firm Stability Insights

Ralph E. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph E Wagner IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

PFS INVESTMENTS INC.

ADP BROKER-DEALER, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2023

Series 63

Date: 9/9/2022

Series 6TO

Date: 7/29/2022

SIE

Date: 4/4/2022

Series 6

Date: 7/29/2015

Current Firm

LAUREL FINANCIAL GROUP INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAUREL FINANCIAL GROUP INC

TRUST BUT VERIFY

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