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Kristina Anne Wagner

Axos Clearing LLC

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About Kristina Anne Wagner

Kristina Wagner is a financial advisor with over 20 years of experience in the financial industry. Kristina is currently registered with Axos Clearing LLC and holds Series 7, Series 63, Series 99TO, and SIE licenses. Kristina's previous experience includes working for Bancwest Investment Services, Inc., Invest Financial Corporation, Banc of America Investment Services, Inc., and Prudential Securities Incorporated. Kristina is committed to providing her clients with personalized financial advice and helping them reach their financial goals.

Firm Information

Kristina Wagner is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

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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Kristina Wagner’s Registration & Firm History

NE

10/28/2019 - Present

Axos Clearing LLC (Omaha NE)

NE

08/12/2006 - 10/25/2019

BANCWEST INVESTMENT SERVICES, INC. (OMAHA NE)

IA

09/01/2005 - 08/12/2006

INVEST FINANCIAL CORPORATION (URBANDALE IA)

MA

07/22/1999 - 07/29/2005

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

10/15/1998 - 06/22/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/31/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/09/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kristina Anne Wagner.
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