Thomas Wagner is a registered investment advisor, based in Chicago, IL, with 11 years of industry experience.
Location
Chicago, IL
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas works as a financial advisor for Guide Wealth Partners, serving new and existing clients on their investment, insurance, and planning needs. This takes up his full-time work hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
October 2024 - Present · 1 yr 7 mos
Cetera Wealth Services, LLCBroker
October 2024 - Present · 1 yr 7 mos
Cetera Wealth Services, LLC
October 2024 - Present · 1 yr 7 mos
Previous Registrations
Osaic Wealth, INC.Broker
August 2024 - October 2024 · 2 mos
Alera Investment Advisors, LLC
November 2017 - October 2024 · 6 yrs 11 mos
Triad Advisors LLCBroker
November 2017 - August 2024 · 6 yrs 9 mos
Securian Financial Services, INC.
September 2014 - November 2017 · 3 yrs 2 mos
Securian Financial Services, INC.Broker
August 2014 - November 2017 · 3 yrs 3 mos
State Registrations11 states
AZCAFLILINMIMNMONCWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.