Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Mak is a financial advisor with over 20 years of experience in the industry. Warren is currently registered with Fidelity Brokerage Services LLC and National Financial Services LLC. Warren has a strong background in municipal securities, having passed the Series 52 exam in 1997. Warren also holds the Series 99 and SIE exams, demonstrating Warren's expertise in operations and securities industry essentials. Warren is committed to providing clients with personalized financial advice and guidance.
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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RI
11/28/2018 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
TX
02/02/1998 - 07/06/1999
FLEET SECURITIES, INC. (DALLAS TX)
NY
08/20/1997 - 02/02/1998
FLEET SECURITIES INC. (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2018
Series 99 - Operations Professional Examination
BC
Issued 08/18/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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