Rex A. 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.
Rex Allen Wagner was a registered financial professional .
Rex is a previously registered financial professional and started their career in finance in 1979. Rex had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2007 - August 26, 2019
DEUTSCHE BANK SECURITIES INC.
July 22, 2003 - May 11, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 21, 1998 - July 31, 2003
RAYMOND JAMES & ASSOCIATES, INC.
June 25, 1993 - June 18, 1998
FIRST UNION CAPITAL MARKETS CORP.
May 14, 1988 - February 8, 1993
LEHMAN BROTHERS INC.
August 3, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
March 2, 1984 - August 11, 1987
UBS FINANCIAL SERVICES INC.
February 12, 1981 - March 26, 1984
E. F. HUTTON & COMPANY INC
July 27, 1979 - March 6, 1981
JOHNSTON, LEMON & CO. INCORPORATED
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 8
Date: 1/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
