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David Wagener

Robinhood Financial, LLC

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About David Wagener

David Wagener is a financial professional with over 30 years of experience in the industry. David currently holds a Series 7, 9, 10, 24, 53, 55, and 63 license, and is registered with Robinhood Financial, LLC. David also holds a Series 7, 9, 10, 24, and 53 license, and is registered with Robinhood Securities, LLC. Previously, David was registered with ALLSPRING FUNDS DISTRIBUTOR, LLC, LPL FINANCIAL LLC, NATIONAL FINANCIAL SERVICES LLC, CANACCORD ADAMS INC., and EDWARD JONES.

Firm Information

David Wagener is currently registered with Robinhood Financial, LLC. Robinhood Financial, LLC is a Limited Liability Company formed in August 2012. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Robinhood Financial, LLC has been the subject of 52 regulatory events and 5 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

302

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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David Wagener’s Registration & Firm History

FL

04/17/2023 - Present

Robinhood Financial, LLC (Lake Mary FL)

MA

04/26/2018 - 10/31/2022

ALLSPRING FUNDS DISTRIBUTOR, LLC (BOSTON MA)

MA

02/13/2014 - 04/25/2018

LPL FINANCIAL LLC (BOSTON MA)

RI

11/05/2009 - 07/08/2013

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

NY

07/14/2006 - 10/09/2009

CANACCORD ADAMS INC. (NEW YORK NY)

MO

05/01/1992 - 07/20/2006

EDWARD JONES (ST LOUIS MO)

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Licenses & Designations

BC

Issued 09/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2002

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/07/1999

Series 24 - General Securities Principal Examination

BC

Issued 08/30/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/30/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/27/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/13/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Wagener.
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