Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Leif Raum is a financial advisor with J.P. Morgan Securities LLC. Warren has been in the financial industry since December 22, 1981. Raum is registered as a broker-dealer in 30 states and as an investment advisor in 2 states. Warren has held licenses with UBS Financial Services Inc. in the past.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
10/09/2024 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
12/23/1981 - 06/10/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
IA
Issued 10/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/25/1982
Series 5 - Interest Rate Options Examination
BC
Issued 08/13/1982
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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