Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Frederick Wilson is a financial advisor with Raymond James & Associates, Inc. Warren is a registered representative with FINRA and is also registered as an investment advisor representative in multiple states. Warren has been in the financial services industry since 1993. Warren's previous employers include Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Warren offers a variety of financial services, including portfolio management for individuals and businesses, financial planning, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/03/2018 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
06/01/2009 - 05/27/2011
MORGAN STANLEY SMITH BARNEY (WESTLAKE VILLAGE CA)
CA
07/17/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE VILLAGE CA)
NY
08/25/1994 - 07/21/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/09/1993 - 05/24/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/30/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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