Ventura, California financial advisor Stephen Wagner (CRD# 2193508) was recently terminated from a former member firm in connection with alleged...
Read MoreStephen Wagner: Integrity Advisor Fired by LPL
Ventura, California financial advisor Stephen Wagner (CRD# 2193508) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is registered as an investment advisor with Integrity Wealth Advisors.
Mr. Wagner’s BrokerCheck report discloses his termination from LPL Financial. Filed in December 2025, it states that the firm fired him in connection with allegations that he “Executed transactions in low-priced securities.” The disclosure provides no additional information regarding the allegations.
A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2014, it alleged that as a representative of TransAmerica Financial Advisors, he recommended unsuitable investments that resulted in losses. The complaint alleged damages of $80,000 and was denied by the firm.
An earlier investor complaint, filed in 2010, alleged that as a TransAmerica Financial representative, he recommended unsuitable stock investments. The complaint reached a settlement of $8,000.
A third investor complaint, filed in 2001, alleged that as a TransAmerica Financial Advisors representative, he recommended unsuitable mutual fund investments. The complaint alleged damages of $50,000 and was denied by the firm.
According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Stephen Wagner holds 33 years of securities industry experience. Based in Ventura, California, he has been registered as an investment advisor with Integrity Wealth Advisors since 2016. His past registrations include LPL Financial and TransAmerica Financial Advisors. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Principal Examination, or Series 24. He is licensed in California and Texas. (Information current as of February 1, 2026.)
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