RW
Rebecca J. Warren
MOLONEY SECURITIES ASSET MANAGEMENT LLC
MESA, AZ
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CRD#: 1036051
RW
Professional summary
Rebecca Jo Warren, CFP®, who also goes by Rebecca J Anderson, Rebecca Jo Anderson, is a registered financial advisor currently at MOLONEY SECURITIES ASSET MANAGEMENT LLC located in Mesa, Arizona and MOLONEY SECURITIES CO., INC. located in Mesa, Arizona.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Rebecca has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rebecca J Anderson | Rebecca Jo Anderson
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.
REBECCA WARREN, CFP, RTRP, OWNER, TAX PLANNING AND TAX PREPARATION, 923 NORTH HILLRIDGE, MESA, AZ, 85207. NOT INVESTMENT-RELATED, DEVOTES EST. 100 HOURS BETWEEN JAN 15 AND APR 15, SOME OF WHICH ARE DURING SECURITIES TRADING HOURS. SECURITIES AND INVESTMENT ADVISORY SERVICES ARE OFFERED UNDER DBA WARREN FINANCIAL SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Jo Warren's 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®
CFP®
Start date: 1994
Experience
Current
February 22, 2016 - Present
MOLONEY SECURITIES ASSET MANAGEMENT LLC
RIA
CRD#: 282448
MESA, AZ
Current
April 14, 2000 - Present
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
MESA, AZ
Past
February 22, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
RIA
CRD#: 282140
MESA, AZ
Past
June 24, 2003 - April 13, 2016
MOLONEY SECURITIES CO., INC.
RIA
CRD#: 38535
MESA, AZ
Past
August 2, 1996 - April 26, 2000
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
November 30, 1995 - August 22, 1996
CRISPIN KOEHLER SECURITIES
BD
CRD#: 10596
TAMPA, FL
Past
December 14, 1993 - December 6, 1995
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
April 29, 1982 - January 6, 1994
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
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".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
Registered Investment Advisory firm - (12/31/2015 Approved)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.RR
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
RR
Arizona(4/14/2000)
IAR
Arizona(3/10/2016)
RR
California(8/1/2016)
RR
Colorado(4/14/2000)
RR
Indiana(4/18/2017)
RR
Montana(8/31/2021)
RR
Nevada(11/28/2016)
RR
North Dakota(4/14/2000)
RR
Tennessee(2/1/2022)
RR
Wisconsin(3/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
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Contact information
Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 | ||
| 12/22/2022 |
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.
