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Christine Darcy Waggoner

American Enterprise Investment Services Inc.

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About Christine Darcy Waggoner

Christine Darcy Waggoner is a financial advisor who has been in the industry since June 27, 2000. Christine is currently registered with American Enterprise Investment Services Inc. in Minnesota and has previously been registered with Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Tamarack Distributors Inc., RBC Dain Rauscher Inc., Dougherty & Company LLC and Prudential Securities Incorporated. Christine has successfully passed several industry exams including the General Securities Representative Examination (Series 7), the Uniform Securities Agent State Law Examination (Series 63) and the Securities Industry Essentials Examination (SIE).

Firm Information

Christine Waggoner is currently registered with American Enterprise Investment Services Inc.. American Enterprise Investment Services Inc. is a Corporation formed in April 1990, registered to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been approved for SEC registration and has been involved in 11 regulatory and civil disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

16

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Christine Waggoner’s Registration & Firm History

MN

10/03/2019 - Present

American Enterprise Investment Services Inc. (Minneapolis MN)

MN

06/15/2009 - 10/03/2019

AMERIPRISE FINANCIAL SERVICES, INC. (Minneapolis MN)

MI

06/19/2009 - 10/14/2009

AMERIPRISE ADVISOR SERVICES, INC. (DETROIT MI)

MN

09/13/2006 - 10/30/2008

TAMARACK DISTRIBUTORS INC. (MINNEAPOLIS MN)

NY

12/11/2000 - 06/30/2006

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MN

04/25/2000 - 12/08/2000

DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)

NY

10/23/1997 - 06/18/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/13/1997

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 11/11/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christine Darcy Waggoner.
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