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Brad F Wagner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saratoga Springs, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2012-10-10
NJ RA APPROVED 2009-10-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

18 Division St, Saratoga Springs, NY 12866 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saratoga Springs NY 10/2009 Present
Bank Of America,N.A. Saratoga Springs NY 06/2011 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Latham, NY
    Albany, NY
  • 2002-12-06 → 2004-10-20
    Quick & Reilly, Inc.
    Schenectady, NY
  • 2001-05-16 → 2002-11-19
    Ubs Financial Services Inc.
    Naperville, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-29
S63 Uniform Securities Agent State Law Examination 1996-06-10
  • S65 Uniform Investment Adviser Law Examination
    1998-05-29
  • S63 Uniform Securities Agent State Law Examination
    1996-06-10
Other Names
  • Brad F Wagner
  • Brad Francis Wagner

View on SEC IAPD

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SARATOGA INVESTMENT SOLUTIONS INC.
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STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
LPL FINANCIAL LLC
STIFEL, NICOLAUS & COMPANY, INCORPORATED

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ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · SARATOGA SPRINGS, NY

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