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CFP · ChFC
RW
CFP · ChFC

Richard Wagener

Raymond James Financial Services Advisors, INC
52 Years of Experience
Columbia, MD
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Wagener is a CFP, ChFC-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Columbia, MD, with 52 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5950 Symphony Woods Road, Suite 412, Columbia, MD, 21044

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is the CEO and compliance officer for Financial First Advisors. He also acts as an insurance agent for life, fixed annuity, disability income (DI), and long-term care (LTC) insurance, and is a partner in RTP, LLC, a trading/rebalancing program; all these activities require minimal time.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 9 mos
Wagener-Lee, LLC
January 2006 - Present · 20 yrs 9 mos
Raymond James Financial Services, INC.Broker
April 1999 - Present · 27 yrs 6 mos
Financial First Advisors, INC.
February 1991 - Present · 35 yrs 8 mos
Previous Registrations
Raymond James Financial Services
October 1993 - January 2009 · 15 yrs 3 mos
Raymond James Financial Services, INC.Broker
July 1979 - April 1999 · 19 yrs 9 mos
Fmr Securities, INC.Broker
March 1977 - August 1979 · 2 yrs 5 mos
Cornerstone Financial Services, INC.Broker
May 1976 - April 1977 · 11 mos
Ids Life Insurance CompanyBroker
April 1974 - June 1976 · 2 yrs 2 mos
Ids Marketing CorporationBroker
April 1974 - June 1976 · 2 yrs 2 mos
Investors Diversified Services, INC.Broker
April 1974 - June 1976 · 2 yrs 2 mos
State Registrations34 states
ALAZCACOCTDCDEFLGAHIIAILINKYMAMDMEMIMONCNJNVNYOHORPASCTNTXUTVAVTWAWV
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.
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