Thomas F. 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.
Thomas Frederick Wagner III, who also goes by Thomas Wagner, Trey Wagner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2021. Thomas had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2021 - July 6, 2022
LORD ABBETT DISTRIBUTOR LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 9/22/2021
General Securities Representative ExaminationCurrent Firm
LORD ABBETT DISTRIBUTOR LLC
CRD#: 530 / SEC#: , 8-216
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
