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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2019-07-01 |
Branch Locations
2400 Lake Lansing Rd Ste C, Lansing, MI 48912 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | East Lansing | MI | 01/2016 | 06/2019 |
| Waggoner Group, Inc. | East Lansing | MI | 01/2016 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2016 | 06/2019 |
| Lpl Financial, Llc | Lansing | MI | 07/2019 | Present |
| Private Advisor Group, Llc | East Lansing | MI | 07/2019 | Present |
1. 7/1/2019 - Waggoner Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/18/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 7/1/2019 - No Business Name - Investment Related - Home Based - Other-Notary - Started 04/13/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Time Spent 0%. 3. 7/9/2019 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 6/10/2019 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 7/9/2019. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 12/07/2023 - Waggoner Group, Inc. - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - President - Started 09/22/2020 - 20 Hours Per Month/10 Hours During Securities Trading. 5. 03/21/2024 - Waggoner Group, Inc. - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - President - Started: 11/30/2023 - 20 Hrs/mo; 10 hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-09-25 |
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