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Gregory Lee Wagner

Smbc Nikko Securities America, Inc.

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About Gregory Lee Wagner

Gregory Lee Wagner is a financial professional with over 20 years of experience in the securities industry. Gregory is currently registered with Smbc Nikko Securities America, Inc. and has held previous roles at Stifel, Nicolaus & Company, Incorporated, Hapoalim Securities USA, Inc., Miller Tabak Roberts Securities, LLC, Seaboard Securities, Inc., and Standard New York Securities, Inc. Gregory is licensed to provide investment advice in all 50 states and holds the Series 63, SIE, and Series 7 licenses.

Firm Information

Gregory Wagner is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

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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Gregory Wagner’s Registration & Firm History

NY

05/02/2024 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

CT

12/02/2015 - 05/07/2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED (STAMFORD CT)

NY

06/02/2009 - 12/10/2015

HAPOALIM SECURITIES USA, INC. (NEW YORK NY)

NY

06/18/2002 - 08/17/2006

MILLER TABAK ROBERTS SECURITIES, LLC (NEW YORK NY)

NJ

04/02/2002 - 06/20/2002

SEABOARD SECURITIES, INC. (FLORHAM PARK NJ)

NY

02/11/1999 - 01/31/2002

STANDARD NEW YORK SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/09/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/26/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Gregory Lee Wagner.
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