Warren W. Simpson

FIRST WESTERN SECURITIES

Oklahoma City, OK 73112

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CRD#: 1020440

Professional summary

Warren Willis Simpson is a registered financial professional currently at FIRST WESTERN SECURITIES, INC. located in Oklahoma City, Oklahoma.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1981. Warren has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Warren Willis Simpson'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

April 23, 2004 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 3545 Nw 58th Street #725, Oklahoma City, OK 73112

RIA

CRD#: 19537

Oklahoma City, OK

Past

June 20, 1990 - April 29, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 3, 1990 - June 21, 1990

BOUCHER, OEHMKE & COMPANY

CRD#: 17470

Past

December 18, 1989 - January 4, 1990

DFW SECURITIES, INC.

CRD#: 23411

Past

August 31, 1987 - January 20, 1990

ANDERSON, BRYANT & CO.

CRD#: 13185

Past

August 28, 1985 - September 24, 1987

UR FINANCIAL, INC.

CRD#: 10509

Past

November 1, 1984 - August 19, 1985

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

November 17, 1981 - September 28, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

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

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

Oklahoma
(2/18/2020)

Exams

State Security Law Exam

Series 63

Date: 11/17/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/4/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.

CRD#: 19537 / SEC#: 801-70430, 8-37613

RIA

Registered Investment Advisory firm - SEC (6/18/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/15/2013 Approved)

California

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

669 Airport Freeway #409 Suite 409, Hurst, TX 76053

Mailing Address

669 Airport Freeway #409, Hurst, TX 76053

Phone number

(817) 553-1492

Established

Texas since 03/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIRST WESTERN SECURITIES VOTING TRUST	VOTING TRUST
FERGUSON, RANDAL EARL	PRESIDENT/CHIEF COMPLIANCE OFFICER	859884
KILPATRICK, BRYAN CRAIG	CFO/FOP	1278558

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 41,715,412

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

Warren W. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren Willis Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

BOUCHER, OEHMKE & COMPANY

DFW SECURITIES, INC.

ANDERSON, BRYANT & CO.

UR FINANCIAL, INC.

FIRST AFFILIATED SECURITIES, INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/1981

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 24

Date: 1/4/1988

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST WESTERN SECURITIES, INC.

TRUST BUT VERIFY

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