Roy G. 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.
Roy Gardner Warren was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1982. Roy had worked at 11 firms and has passed the Series 63, Series 7, Series 24 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
January 22, 2002 - January 22, 2003
BUCKMAN, BUCKMAN & REID, INC.
December 1, 1998 - February 1, 2000
INTERCOASTAL FINANCIAL SERVICES CORP.
January 31, 1995 - February 10, 1997
EARLYBIRDCAPITAL, INC.
June 11, 1992 - December 21, 1994
LAFFER, WARREN AND CO., INC.
September 27, 1990 - May 27, 1992
ALEX. BROWN & SONS INCORPORATED
September 4, 1990 - September 14, 1990
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
August 6, 1987 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
July 8, 1987 - November 2, 1987
BOETTCHER & COMPANY, INC.
September 17, 1982 - July 7, 1987
JW GENESIS CLEARING CORP.
June 29, 1982 - August 30, 1982
BLINDER, ROBINSON & CO., INC.
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: 3/17/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
