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Leon Mark Wagner

WATERMILL INSTITUTIONAL TRADING

BAY HARBOR ISLANDS, FL

·CRD# 847307·48 years experience

Professional Summary

Leon Mark Wagner is a registered financial advisor currently at WATERMILL INSTITUTIONAL TRADING LLC located in Bay Harbor Islands, Florida. Leon is registered as a RR (Registered Representative) and started their career in finance in 1978. Leon has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 5 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

48 years in the financial services industry

Current & Past Employments

WATERMILL INSTITUTIONAL TRADING LLC·CRD# 150892

RIA

BD

1111 Kane Concourse Suite 605, Bay Harbor Islands, FL 33154

September 7, 2020 - Present

LWPARTNERS CAPITAL GROUP LLC·CRD# 167438

BD

New York, NY

January 7, 2014 - October 15, 2018

INDEPENDENT BROKERAGE SOLUTIONS LLC·CRD# 153563

BD

New York, NY

September 20, 2013 - December 31, 2013

CIBC WORLD MARKETS CORP.·CRD# 630

BD

New York, NY

November 3, 1997 - April 24, 2000

CIBC WOOD GUNDY SECURITIES CORP.·CRD# 3801

BD

New York, NY

September 1, 1995 - November 3, 1997

THE ARGOSY SECURITIES GROUP, L.P.·CRD# 27301

BD

New York, NY

September 3, 1993 - September 1, 1995

DUNHILL SECURITIES INC.·CRD# 17588

BD

June 16, 1993 - September 9, 1993

DABNEY/RESNICK/IMPERIAL, LLC·CRD# 24367

BD

Beverly Hills, CA

March 8, 1990 - May 3, 1993

DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323

BD

April 26, 1986 - March 14, 1990

LEHMAN BROTHERS INC.·CRD# 7506

BD

June 25, 1979 - March 5, 1986

LOEB PARTNERS·CRD# 7534

BD

January 18, 1978 - June 25, 1979

LOEB RHOADES & CO. INC.·CRD# 7502

BD

January 3, 1978 - January 18, 1978

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Current Firm

WI

WATERMILL INSTITUTIONAL TRADING LLC

WATERMILL INSTITUTIONAL TRADING LLC | WATERMILL TRADING LLC

CRD#: 150892 / SEC#: 8-68311

New Jersey

Registered Investment Advisory firm - SEC (2/10/2025 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

111 Town Square Place Suite 1520, Jersey City, NJ 07310

Mailing Address

111 Town Square Place Suite 1520, Jersey City, NJ 07310

Phone Number

(917) 621-3829

Established

Delaware since 01/23/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

20

FINRA licenses (15 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WATERMILL TRADING HOLDINGS LLC	100% OWNER	—
BRAM, BENJAMIN SCOTT	CEO	1319325
DEMPSEY, DAVID JOSEPH	COO,CCO	1831193
RUTITSKIY, DMITRIY	FINOP	6117665
WACHSTETER, GREGORY ALAN	MANAGING DIRECTOR	3165385

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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.

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State Registrations and Notice Filings

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

RR

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

RR

Florida
(11/18/2020)

RR

Puerto Rico
(1/6/2022)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1983About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2013About the Series 7 exam

Series 5 — Interest Rate Options Examination

Passed Oct 1981

Series 24 — General Securities Principal Examination

Passed Nov 2013About the Series 24 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Leon Mark Wagner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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LW

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