Ralph E. 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.
Ralph E Wagner IV, who also goes by Ralph Edward Wagner IV, Ralph E Wagner, Ralph Edward Wagner, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 2012. Ralph had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2023 - March 11, 2026
LAUREL FINANCIAL GROUP INC
June 8, 2023 - April 23, 2025
COMMONWEALTH FINANCIAL NETWORK
March 23, 2023 - April 23, 2025
COMMONWEALTH FINANCIAL NETWORK
July 29, 2022 - March 24, 2023
PFS INVESTMENTS INC.
July 29, 2015 - October 31, 2016
ADP BROKER-DEALER, INC.
August 9, 2012 - January 24, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
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
Series 6TO
Date: 7/29/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LAUREL FINANCIAL GROUP INC
CRD#: 112389 / SEC#: 801-29022
Contact information
Regulatory assets under management
| Total Number of Accounts | 448 |
| AUM (Assets Under Management) | $ 103,177,432 |
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.
