Dan Edward Wagner Jr., of Greenville, South Carolina, a stockbroker registered with Triad Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $189,550.00 in damages based upon allegations that Wagner made the unsuitable investment recommendation of direct investments and real estate securities when Wagner was associated with Triad Advisors LLC. FINRA Arbitration No. 23-02579 (October 3, 2023).
FINRA Public Disclosure shows that Wagner is referenced in three other customer initiated investment related disputes concerning Wagner’s conduct while associated with securities broker dealers. On July 24, 2007, a customer filed an investment related complaint involving Wagner’s conduct in which the customer requested $15,200.00 in damages based upon allegations that Wagner made omissions of material fact in connection with the sale of variable annuities when Wagner was associated with Uvest Financial Services Group Inc. This complaint was closed with no further action taken by the customer.
Wagner was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $60,000.00 in damages based upon allegations that Wagner was negligent in connection with the sale of direct investments when Wagner was associated with Triad Advisors LLC and Arkadios Capital. FINRA Arbitration No. 23-01598 (June 21, 2024).
Wagner was associated with Triad Advisors LLC in Greenville, South Carolina from May 19, 2014 to April 5, 2021. Wagner has been associated with Arkadios Capital in Greenville, South Carolina since April 1, 2021, as a stockbroker, and Wealth Management Advisors LLC in Anderson, South Carolina since May 20, 2014, as an investment advisor representative.
