Dennis Wayne Wagoner
Dennis W Wagoner
Dennis Wagoner a financial professional at Vining Sparks. Dennis has held an industry securities registration for 38 years and is subject to FINRA oversight.
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Answers and Guides
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Firm Client Types
Experience and Employment History
*Experience and Employment History information reflects the past 10
years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and
employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm
and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.
Licenses and Conduct
|As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
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|Registered Options Representative Examination
|Uniform Securities Agent State Law Examination
|Registered Representative Examination
Firm Compensation Arrangements
No compensation arrangements listed.