Frederick R. Warren

STIFEL INDEPENDENT ADVISORS

WICHITA, KS 67203

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CRD#: 1014053

Professional summary

Frederick Richard Warren, who also goes by Fred Warren, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Wichita, Kansas.

Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frederick has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 3 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Warren

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Richard Warren's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Frederick Richard Warren's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 19, 2007 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 608 West Douglas, Wichita, KS 67203

RIA

CRD#: 28218

WICHITA, KS

Current

March 19, 2007 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 608 West Douglas, Wichita, KS 67203

RIA

CRD#: 28218

WICHITA, KS

Past

January 25, 2006 - March 26, 2007

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

HUTCHINSON, KS

Past

July 5, 2002 - March 26, 2007

OPPENHEIMER & CO. INC.

CRD#: 249

HUTCHINSON, KS

Past

December 7, 2001 - July 9, 2002

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

November 6, 2001 - July 9, 2002

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

WICHITA, KS

Past

March 28, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

March 28, 1990 - July 20, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

May 14, 1988 - August 8, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 24, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 13, 1985 - August 29, 1987

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

July 11, 1985 - October 29, 1985

METRO SECURITIES, INC.

CRD#: 10260

Past

March 9, 1984 - August 16, 1985

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

March 9, 1984 - August 16, 1985

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

November 25, 1981 - February 7, 1984

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

November 25, 1981 - February 7, 1984

EQUITABLE ADVISORS, LLC

CRD#: 6627

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/10/2019)

Arkansas
(8/12/2020)

Colorado
(9/29/2021)

Kansas
(3/19/2007)

IAR

Kansas
(3/19/2007)

New Jersey
(12/13/2016)

New Mexico
(3/19/2007)

Texas
(3/19/2007)

IAR

Texas
(7/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/27/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/6/2001

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/29/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 10/28/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One Financial Plaza 501 North Broadway, St Louis, MO 63102

Mailing Address

One Financial Plaza 501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-4051

Established

Missouri since 05/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

206

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)

FINANCIAL PLANNING (3/31/2025)

WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMES	CHAIRMAN, STIFEL FINANCIAL	1434827
BRAUTIGAM, ALLEN COR	PRESIDENT AND CEO	2400179
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER	4696103
DODSON, CHARLES EDWARD	CCO-ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL	4970942
MELINGER, ADAM SCOTT	ROSFP	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
ROWAN, JAMES FRANCIS	PRINCIPAL FINANCIAL OFFICER	1976998
ZEMLYAK, JAMES MARK	MANAGER, BOARD OF MANAGERS	1586132

Regulatory assets under management

Total Number of Accounts	11,648
AUM (Assets Under Management)	$ 4,379,138,273

Disclosures

Regulatory Event	3
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frederick R. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Richard Warren's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frederick Richard Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

B.C. CHRISTOPHER SECURITIES CO.

METRO SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STIFEL INDEPENDENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2006

Series 63

Date: 1/7/2002

SIE

Date: 10/1/2018

Series 31

Date: 10/27/2003

Series 7

Date: 12/6/2001

Series 3

Date: 1/29/1988

Series 6

Date: 10/28/1981

FINRA

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL INDEPENDENT ADVISORS, LLC

TRUST BUT VERIFY

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