James E. Wagoner

LEBENTHAL FINANCIAL SERVICES

Jericho, NY 11753

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CRD#: 833940

Professional summary

James Eric Wagoner, who also goes by Eric Wagoner, is a registered financial professional currently at LEBENTHAL FINANCIAL SERVICES, INC. located in Jericho, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1977. James has worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Wagoner

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Eric Wagoner's CRS (Customer Relationship Summary).

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

November 20, 2020 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753Office #2: 500 N. Broadway Suite 238, Jericho, NY 11753

CRD#: 137988

Jericho, NY

Past

August 10, 2018 - November 19, 2020

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NORWALK, CT

Past

January 5, 2018 - April 9, 2018

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

February 7, 2017 - October 27, 2017

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

December 1, 2001 - February 14, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

November 16, 1995 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

March 21, 1995 - October 23, 1995

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Past

December 2, 1994 - February 21, 1995

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

December 22, 1993 - October 12, 1994

BDS SECURITIES LLC

CRD#: 21751

NEW YORK, NY

Past

June 1, 1989 - November 17, 1993

S.N. PHELPS & CO.

CRD#: 18341

Past

August 24, 1988 - January 24, 1989

FAIRFIELD RESEARCH SECURITIES CORPORATION

CRD#: 19744

Past

October 9, 1987 - June 17, 1988

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

November 5, 1986 - November 17, 1993

S.N. PHELPS & CO.

CRD#: 18341

Past

June 28, 1985 - June 10, 1986

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

October 11, 1984 - January 25, 1985

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

February 3, 1982 - September 28, 1984

SCHRODER & CO. INC.

CRD#: 6112

Past

October 14, 1980 - February 10, 1982

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

May 19, 1978 - October 9, 1980

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

March 1, 1977 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(11/20/2020)

Florida
(11/30/2020)

Georgia
(11/30/2020)

Illinois
(12/10/2020)

Missouri
(12/7/2020)

North Carolina
(10/20/2022)

Virginia
(12/3/2020)

Exams

State Security Law Exam

Series 63

Date: 2/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEBENTHAL FINANCIAL SERVICES, INC.

BRISTOL FINANCIAL SERVICES, INC | LEBENTHAL FINANCIAL SERVICES, INC.

CRD#: 137988 / SEC#: , 8-67140

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

500 N. Broadway Suite 238, Jericho, NY 11753

Mailing Address

500 N. Broadway Suite 238, Jericho, NY 11753

Phone number

(516) 349-5555

Established

New York since 07/13/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (39 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HARTZMAN, MICHAEL AVERY	PRESIDENT, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER OF INVESTMENT ADVISORY, MUNICIPAL PRINCIPAL, OPTIONS PRINCIPAL	2216133
TAVELLA, DOMINICK	OWNER	1069864
MASON, RANDI PATRICE	CHIEF COMPLIANCE OFFICER	722302
SAKOL, DANIEL SCOTT	FINOP	2813237

Disclosures

Regulatory Event

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

James E. Wagoner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Eric Wagoner's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

AGES FINANCIAL SERVICES, LTD.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

MERIT CAPITAL ASSOCIATES, INC.

M. J. WHITMAN, INC.

CRT CAPITAL GROUP LLC

BDS SECURITIES LLC

S.N. PHELPS & CO.

FAIRFIELD RESEARCH SECURITIES CORPORATION

WACHOVIA SECURITIES, INC.

S.N. PHELPS & CO.

WACHOVIA SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

SCHRODER & CO. INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1981

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1977

Series 24

Date: 4/23/1996

FINRA

Current Firm

LEBENTHAL FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEBENTHAL FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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