Warren E. Rowe
Professional summary
Warren Ellwood Rowe JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Warren is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Warren had worked at 7 firms, which includes OPPENHEIMER & CO. INC., RBC CAPITAL MARKETS LLC, FERRIS BAKER WATTS LLC, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, SCOTT & STRINGFELLOW INC., ANDERSON & STRUDWICK INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2011 - May 4, 2020
OPPENHEIMER & CO. INC.
March 11, 2011 - May 4, 2020
OPPENHEIMER & CO. INC.
March 13, 2009 - March 17, 2011
RBC CAPITAL MARKETS, LLC
March 13, 2009 - March 17, 2011
RBC CAPITAL MARKETS, LLC
July 23, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
July 11, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
July 1, 2003 - July 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 13, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 8, 1985 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1983 - October 3, 1985
SCOTT & STRINGFELLOW, INC.
November 24, 1982 - August 6, 1983
ANDERSON & STRUDWICK, INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
