Thomas S Wagner

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2010 → Present
  Wagner & Associates, Llc
  Somerville, NJ
• 01/2011 → 10/2017
  National Planning Corporation
  Whitehouse Stations, NJ
• 10/2017 → 04/2022
  Securities America, Inc.
  Somerville, NJ
• 10/2017 → 04/2022
  Securities America Advisors
  Somerville, NJ
• 04/2022 → Present
  Lpl Financial Llc
  Somerville, NJ

Previous Registrations

• 2017-11-06 → 2022-04-28
  Securities America Advisors, Inc.
  Somerville, NJ
• 2011-03-10 → 2017-10-31
  National Planning Corporation
  Whitehouse Station, NJ
  Somerville, NJ

Other Businesses

1)04/28/2022 - Wagner & Associates LLC - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 10/1976 - 80 Hr/Mth 2)04/28/2022 - Real Estate Rental - Inv Rel - Sommerville, NJ -Start: 01/2014 - 1 Hr/Mth

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-03-16
• S65 Uniform Investment Adviser Law Examination
  2014-12-01

Designations

• Certified Financial Planner

Other Names

• Thomas Wagner