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RIA / WealthAdvisorCertified Financial Planner13 years in industry

STEPHEN EARL WAGNER

Advisor at MARINER

Chesterfield, MO | Brentwood, MO

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Search this name across graphsid dfx:ria:fac0a956-3569-4166-4afb-c4b75c3a16dd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 25, 2017 to Sep 15, 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: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: May 20, 2019
First registration: Apr 25, 2017
Dual registered: no
IAPD individual key: 6785863

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
Mariner	Bd affiliated wealth	Aug 25, 2026	n/a	yes	Chesterfield, MO\|Brentwood, MO	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 6, 2025	Sep 2, 2026	no	Clayton, MO	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 19, 2023	Sep 29, 2025	no	Clayton, MO\|Chesterfield, MO	Previous registration
MONETA GROUP INVESTMENT ADVISORS, LLC	Independent wealth	Apr 25, 2017	Jan 18, 2019	no	ST. LOUIS, MO	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
UBS FINANCIAL SERVICES INC.	Mariner	Sep 2, 2026	Aug 25, 2026	-8	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Sep 29, 2025	Oct 6, 2025	7	Firm change	Wirehouse to wirehouse
MONETA GROUP INVESTMENT ADVISORS, LLC	J.P. MORGAN SECURITIES LLC	Jan 18, 2019	Jul 19, 2023	1,643	Firm change after gap	RIA to wirehouse

Relationships

Registered with (4)

→ MARINERRegistered adviserregistration: current employment
Aug 25, 2026 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 6, 2025 to Sep 2, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Sep 29, 2025factForm ADV
→ MONETA GROUP INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 25, 2017 to Jan 18, 2019factForm ADV

Dated events

Occurred
Sep 2, 2026
Advisor changed firm
Stephen Earl Wagner left Ubs Financial Services Inc. for Mariner (registered 2026-08-25)
Form ADVobserved 6 days ago
Occurred
Sep 29, 2025
Advisor changed firm
Stephen Earl Wagner left J.P. Morgan Securities Llc for Ubs Financial Services Inc. (registered 2025-10-06)
Form ADVobserved 6 days ago