Thomas E. 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.
Thomas Edward Warren was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 22, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - January 5, 2021
CAPITAL CLIENT GROUP, INC.
August 30, 1993 - January 5, 2021
CAPITAL CLIENT GROUP, INC.
May 23, 1991 - July 1, 1993
CITIGROUP GLOBAL MARKETS INC.
July 1, 1988 - February 28, 1991
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - May 3, 1988
TRANSAMERICA CAPITAL, LLC
September 15, 1986 - February 18, 1988
MADISON MARKETING CORPORATION
February 20, 1986 - August 19, 1986
PSI SECURITIES CORPORATION
December 19, 1984 - January 4, 1986
ANGELES SECURITIES CORPORATION
November 1, 1983 - November 26, 1984
WOODS SECURITIES CORPORATION
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
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