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Nickolas David Wagner

Mml Investors Services, LLC

Atlanta, GA

Atlanta, GA

CRD 6076788

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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2013-07-02
  • GA RA
    APPROVED
    Since 2013-07-02

Branch Locations

7000 Peachtree Dunwoody Road Bldg 12 Suite 200, Atlanta, GA 30328 • United States

Atlanta, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Co Atlanta GA 05/2012 Present
Mml Investors Services, Llc Atlanta GA 07/2012 Present
Publix Atlanta GA 05/2012 Present
  • 05/2012 → Present
    Massmutual Life Insurance Co
    Atlanta, GA
  • 07/2012 → Present
    Atlanta, GA
  • 05/2012 → Present
    Publix
    Atlanta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-06
S63 Uniform Securities Agent State Law Examination 2012-08-17
  • S65 Uniform Investment Adviser Law Examination
    2013-02-06
  • S63 Uniform Securities Agent State Law Examination
    2012-08-17
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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