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Detailed Report
Allen J Wagner III
ALLEN J WAGNER III, ALLEN J WAGNER, ALLEN JOSEPH WAGNER III
CRD#: 5765783
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 6000 Fairview Rd
Ste 1425
Charlotte, NC 28210
Registration History
2010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BEATON VANCE DISTRIBUTORS, INC. (CRD# 37731)2013 - 2024 (10 years)BMETLIFE INVESTORS DISTRIBUTION... (CRD# 107622)2010 - 2013 (3 years)IAEATON VANCE MANAGEMENT (CRD# 104859)2014 - 2024 (10 years)
License(s)

State Registrations

B
North Carolina 6/7/2024
IA
North Carolina 7/10/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
6000 Fairview Rd Ste 1425, Charlotte, NC 28210
Registered with this firm since 7/10/2024
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
6000 Fairview Rd Ste 1425, Charlotte, NC 28210
Registered with this firm since 6/7/2024
Previous Registration(s)
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IA
 03/04/2014 - 04/19/2024 EATON VANCE MANAGEMENT (CRD#:104859) BOSTON, MA
B
 11/12/2013 - 04/19/2024 EATON VANCE DISTRIBUTORS, INC. (CRD#:37731) BOSTON, MA
B
 04/27/2010 - 11/21/2013 METLIFE INVESTORS DISTRIBUTION COMPANY (CRD#:107622) BLOOMFIELD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.