Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Thomas is a securities professional with over 30 years of experience in the industry. Warren has a broad range of experience, having worked with several firms including NelsonReid, Inc., Steven L. Falk & Associates Inc., and Direct Capital Securities, Inc. Warren currently holds registrations with Exchangeright Securities, LLC and Lighthouse Capital Group, LLC. Warren has a strong track record of success in the financial services industry. Warren is dedicated to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
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.
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2
CA
10/09/2017 - Present
Exchangeright Securities, LLC (PASADENA CA)
SC
09/07/2011 - 06/24/2014
SANDLAPPER SECURITIES, LLC (GREENVILLE SC)
CA
05/18/2011 - 09/07/2011
NELSONREID, INC. (PASADENA CA)
CA
02/18/2010 - 05/18/2011
STEVEN L. FALK & ASSOCIATES INC. (PASADENA CA)
CA
08/15/2008 - 02/08/2010
DIRECT CAPITAL SECURITIES, INC. (PASADENA CA)
CA
07/03/2007 - 08/01/2008
INDEPENDENT FINANCIAL GROUP, LLC (PASADENA CA)
CA
01/23/2004 - 07/06/2007
OMNI BROKERAGE, INC. (PASADENA CA)
AZ
03/31/1997 - 01/29/2004
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
CA
11/08/1995 - 04/24/1997
LAGUNA SECURITIES, INC. (NEWPORT BEACH CA)
NY
01/04/1993 - 08/27/1996
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 01/21/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/21/2004
Series 24 - General Securities Principal Examination
BC
Issued 06/03/2004
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 06/20/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/14/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/16/2000
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 12/24/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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