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RIA / WealthAdvisor29 years in industry

SEAN PAUL WAGGONER

Advisor at RETIREMENT AND WEALTH AT ALLIANT, LLC

WAYNE, PA

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Search this name across graphsid dfx:ria:41e6d707-bfd4-8e70-4046-e73b8828be64

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RETIREMENT AND WEALTH AT ALLIANT, LLC
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 24, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 6
Exams: S65|S63
First exam: Apr 24, 1997
First registration: Jan 18, 2008
Dual registered: no
Other names: SEAN PAUL WAGGONER
IAPD individual key: 2748574

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RETIREMENT AND WEALTH AT ALLIANT, LLC	Institutional manager	Jul 11, 2013	n/a	yes	WAYNE, PA	Current employment
JAMES E.BASHAW & CO.	n/a	Jun 4, 2010	Jul 10, 2013	no	HOUSTON, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 16, 2009	Oct 6, 2015	no	HOUSTON, TX\|RICHMOND, TX\|HOUSTON, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 18, 2008	Dec 17, 2009	no	HOUSTON, TX\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	JAMES E.BASHAW & CO.	Oct 6, 2015	Jun 4, 2010	-1,950	Firm change after gap	Other
JAMES E.BASHAW & CO.	RETIREMENT AND WEALTH AT ALLIANT, LLC	Jul 10, 2013	Jul 11, 2013	1	Firm change	Other
NFP ADVISOR SERVICES, LLC	LPL FINANCIAL LLC	Dec 17, 2009	Dec 16, 2009	-1	Firm change	Other

Relationships

Registered with (4)

→ RETIREMENT AND WEALTH AT ALLIANT, LLCRegistered adviserregistration: current employment
Jul 11, 2013 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 16, 2009 to Oct 6, 2015factForm ADV
→ JAMES E.BASHAW & CO.Registered adviserregistration: previous registration
Jun 4, 2010 to Jul 10, 2013factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 18, 2008 to Dec 17, 2009factForm ADV

Dated events

No dated event names this entity yet.