Gary W. Warren
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Wayne Warren was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2020 - August 2, 2023
EQUILIBRIA WEALTH MANAGEMENT, LLC
September 20, 2019 - December 31, 2020
CETERA WEALTH SERVICES, LLC
August 24, 2015 - December 31, 2020
SUMMIT FINANCIAL GROUP INC
August 24, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
May 7, 2010 - August 25, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 7, 2010 - August 25, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 24, 2001 - May 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2001 - May 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 22, 1995 - May 31, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 1990 - November 13, 1995
MORGAN STANLEY DW INC.
April 23, 1982 - April 11, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
EQUILIBRIA WEALTH MANAGEMENT, LLC
CRD#: 311785 / SEC#: 801-119976
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/1/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQUILIBRIA WEALTH MANAGEMENT, LLC
CRD#: 311785 / SEC#: 801-119976
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 208 |
| AUM (Assets Under Management) | $ 124,316,915 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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