Sandra Wagner has been Chief Compliance Officer of Wagner Financial since February 2022, is a control person of the firm and directly owns under 5% of it. Sandra Wagner holds a BS in Business and Economics from George Fox University.
Wagner Financial, LLC is a Lake Oswego, OR firm with $145M under management, 203 clients and 2 advisers in one office, as of its March 2026 filing.
Sandra J. Wagner is President and CEO of Wagner Planning, based in Lake Oswego, Oregon. She works with people managing sudden wealth from inheritances, settlements, retirement or other life-changing events. She gained much of her training at Morgan Stanley and A.G. Edwards/Wachovia Securities before starting her own practice in 2009.
Sandra Wagner’s longest registration was 8 years at Sii Investments, Inc. (2009–2017). Before joining Wagner Financial in 2022, Sandra Wagner was registered through Securities America Advisors, Inc. and KMS Financial Services, Inc.
- Wagner PlanningCurrent– present · 4 yearsLake Oswego, OR · Adviser representative · Firm CRD 318448
- Securities America Advisors, Inc.– · 1 yearLake Oswego, OR · Adviser representative · Firm CRD 110518
- KMS Financial Services, Inc– · 3 yearsLake Oswego, OR · Adviser representative · Firm CRD 3866
- Sii Investments, Inc.– · 8 yearsLake Oswego, OR · Adviser representative · Firm CRD 2225
- Morgan Stanley– · 2 yearsLake Oswego, OR · Adviser representative · Firm CRD 7556
Professional designations
Listed by Wagner Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Sandra Wagner is registered as an investment adviser representative in Oregon, since May 2022.
- OregonSince 18 May 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 5 September 2001 |
| Series 66 | Uniform Combined State Law Examination | 27 August 2001 |
| Series 7 | General Securities Representative Examination | 7 August 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sandra J. Wagner
- CRD
- 4407622
- Firm
- Wagner Financial · CRD 318448
- Role
- Chief Compliance Officer
- Office
- 4260 GALEWOOD STREET, SUITE A, Lake Oswego, OR 97035
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- wagnerplanning.com
Where does Sandra Wagner work?
Sandra Wagner has been Chief Compliance Officer of Wagner Financial, LLC since February 2022, and is a control person of the firm.
Is Sandra Wagner a financial advisor?
Yes. Sandra Wagner has a current investment-adviser registration in Oregon, through Wagner Financial since May 2022.
How many years of experience does Sandra Wagner have?
Sandra Wagner has 25 years in the financial industry, since August 2001, across 5 adviser firms.
What exams has Sandra Wagner passed?
Sandra Wagner has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in August 2001. FINRA credited Sandra Wagner with the SIE, which began in October 2018.
Where did Sandra Wagner work before Wagner Financial?
Before Wagner Financial, Sandra Wagner was registered through KMS Financial Services, Inc, November 2017 to November 2020; Sii Investments, Inc., March 2009 to November 2017; Morgan Stanley, April 2003 to August 2005.
Where is Sandra Wagner based?
Sandra Wagner’s registered office is in Lake Oswego, OR.
Is Sandra Wagner registered with FINRA?
Yes. Sandra Wagner has a current broker registration, under CRD 4407622.
Source: FINRA BrokerCheck
Is Sandra Wagner a CFP?
Wagner Financial lists Sandra Wagner with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Sandra Wagner’s record?
Search CRD 4407622 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Sandra Wagner’s full registration record.