Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brad? Claim Your ProfileBrad Wagner is a financial advisor with over 25 years of experience in the industry. Brad is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and previously held positions at BANC of America Investment Services, Inc., QUICK & REILLY, INC., and UBS PAINEWEBBER INC. Brad holds the Series 63, Series 65, Series 7, and SIE licenses. Brad is a highly experienced professional with a proven track record of success. Brad offers a wide range of services, including portfolio management, financial planning, and pension consulting. Brad provides services to a wide range of clients, including individuals, families, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LATHAM NY)
NY
11/06/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NJ
05/04/2001 - 11/19/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/03/1996 - 05/10/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/29/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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