Samuel E. Wagner

WEALTHGUIDES LLC

Indianapolis, IN 46220

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CRD#: 7086137

Professional summary

Samuel Emerson Wagner, CFP® is a registered financial advisor currently at WEALTHGUIDES LLC located in Indianapolis, Indiana.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Samuel has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC, INVESTMENT RELATED: YES, ADDRESS: 10955 LOWELL AVE, SUITE 900, OVERLAND PARK, KS, 66210, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: 10955 LOWELL AVE, SUITE 900, OVERLAND PARK, KS, 66210, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Emerson Wagner'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

April 4, 2024 - Present

WEALTHGUIDES LLC

Office #1: 5915 N. College Ave Ste 208, Indianapolis, IN 46220

RIA

CRD#: 329822

Indianapolis, IN

Past

March 21, 2024 - April 8, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CARMEL, IN

Past

August 17, 2020 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

CARMEL, IN

Past

January 24, 2020 - April 8, 2024

CETERA ADVISORS LLC

CRD#: 10299

CARMEL, IN

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

Indiana
(4/4/2024)

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 66

Date: 5/13/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/24/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/7/2019

Securities Industry Essentials Examination

Current Firm

WEALTHGUIDES LLC

BROAD RIPPLE CAPITAL | WEALTHGUIDES LLC

CRD#: 329822 / SEC#:

Indiana

Registered Investment Advisory firm - (4/4/2024 Approved)

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Contact information

Main Address

5915 N. College Ave Ste 208, Indianapolis, IN 46220

Mailing Address

Phone number

(317) 533-7707

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 2,190,987

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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Samuel E. Wagner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Emerson Wagner's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHGUIDES LLC

CETERA INVESTMENT ADVISERS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2020

Series 7TO

Date: 1/24/2020

SIE

Date: 9/7/2019

Current Firm

WEALTHGUIDES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTHGUIDES LLC

TRUST BUT VERIFY

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