Individual Firm
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VANESSA ODILE WAGNER
CRD#: 4518511
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 Loveland, CO
CETERA ADVISORS LLCCRD#: 10299 Loveland, CO
0
Disclosures
20
Years of Experience
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State Registrations
B
California 2/24/2023
IA
Colorado 6/29/2023
B
Colorado 2/24/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
B
Registered with this firm since 2/24/2023
B
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/24/2023 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 10/29/2018 - 01/18/2023 | JOHNS CREEK, GA | |
B | 01/06/2012 - 01/18/2023 | JOHNS CREEK, GA | |
B | 06/19/2006 - 01/06/2012 | DULUTH, GA | |
IA | 04/14/2005 - 03/30/2006 | AUSTIN, TX | |
B | 04/14/2005 - 03/30/2006 | MINNEAPOLIS, MN | |
B | 04/14/2005 - 03/30/2006 | MINNEAPOLIS, MN | |
B | 12/05/2003 - 03/15/2005 | MINNEAPOLIS, MN | |
B | 12/05/2003 - 03/15/2005 | MINNEAPOLIS, 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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.