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Detailed Report
Jonathan Neil Vagle
Jonathan Vagle
CRD#: 4056836
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20182019202020212022202320242025IAFBL WEALTH MANAGEMENT, LLC (CRD# 291396)2022 - 2024 (1 year)IATHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2018 - 2021 (2 years)
Disclosure(s)
View By:
10/23/2024
Regulatory
Final
Previous Registration(s)
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IA
 08/16/2022 - 05/13/2024 FBL WEALTH MANAGEMENT, LLC (CRD#:291396) West Des Moines, IA
IA
 06/08/2018 - 01/15/2021 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) ROSEAU, MN
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.