Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Spencer Davis is a financial advisor with Stifel, Nicolaus & Company, Inc. based in Yardley, PA. Warren has been in the financial industry since March 23, 1991. Warren holds Series 7, Series 63, and SIE licenses and is registered in 28 states. Prior to joining Stifel, Nicolaus & Company, Inc. Warren held positions with STERNE, AGEE & LEACH, INC., ABERDEEN FUND DISTRIBUTORS, LLC, FORESIDE FUND SERVICES, LLC, SCUDDER INVESTOR SERVICES, INC., DEUTSCHE BANK SECURITIES INC., ICC DISTRIBUTORS, INC., SEI INVESTMENTS DISTRIBUTION CO., PAINEWEBBER INCORPORATED, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Warren specializes in Fixed income securities, Mutual funds, Exchange traded funds, Variable annuities, Annuities, and Retirement planning.
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.
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.
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2
PA
06/05/2015 - Present
Stifel, Nicolaus & Company, Inc. (YARDLEY PA)
PA
06/23/2009 - 06/05/2015
STERNE, AGEE & LEACH, INC. (WEST CONSHOHOCKEN PA)
PA
08/01/2008 - 02/03/2009
ABERDEEN FUND DISTRIBUTORS, LLC (PHILADELPHIA PA)
PA
01/30/2007 - 08/07/2008
FORESIDE FUND SERVICES, LLC (PHILADELPHIA PA)
NY
05/30/2003 - 12/02/2005
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
04/03/2001 - 05/30/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
ME
08/26/1999 - 03/07/2001
ICC DISTRIBUTORS, INC. (PORTLAND ME)
PA
11/21/1995 - 07/23/1999
SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)
NJ
05/22/1992 - 04/05/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/19/1988 - 04/15/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 12/29/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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