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LW

Leon M. Wagner

WATERMILL INSTITUTIONAL TRADING LLC
BAY HARBOR ISLANDS, FL 33154
Some features on this profile are disabled
CRD#: 847307
LW

Professional summary

Leon Mark Wagner is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leon Mark Wagner'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

September 7, 2020 - Present

WATERMILL INSTITUTIONAL TRADING LLC

Office #1: 1111 Kane Concourse Suite 605, Bay Harbor Islands, FL 33154
RIA
BD
CRD#: 150892
BAY HARBOR ISLANDS, FL
Past

January 7, 2014 - October 15, 2018

LWPARTNERS CAPITAL GROUP LLC

BD
CRD#: 167438
NEW YORK, NY
Past

September 20, 2013 - December 31, 2013

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

November 3, 1997 - April 24, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 1, 1995 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

September 3, 1993 - September 1, 1995

THE ARGOSY SECURITIES GROUP, L.P.

BD
CRD#: 27301
NEW YORK, NY
Past

June 16, 1993 - September 9, 1993

DUNHILL SECURITIES INC.

BD
CRD#: 17588
Past

March 8, 1990 - May 3, 1993

DABNEY/RESNICK/IMPERIAL, LLC

BD
CRD#: 24367
BEVERLY HILLS, CA
Past

April 26, 1986 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

June 25, 1979 - March 5, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - June 25, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 3, 1978 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/18/2020)
RR
Puerto Rico
(1/6/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WATERMILL TRADING HOLDINGS LLC100% OWNER
BRAM, BENJAMIN SCOTTCEO1319325
DEMPSEY, DAVID JOSEPHCOO,CCO1831193
RUTITSKIY, DMITRIYFINOP6117665
WACHSTETER, GREGORY ALANMANAGING DIRECTOR3165385

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.

Company Information

WATERMILL INSTITUTIONAL TRADING LLC

CRD#: 150892Bay Harbor Islands, FL 33154

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