Tom H. 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.
Tom Hillary Warren was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1984. Tom had worked at 5 firms and has passed the Series 63, SIE, 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
November 12, 2012 - November 8, 2018
UAT RESOURCES, LLC
April 21, 1995 - January 24, 2005
JANUS HENDERSON DISTRIBUTORS US LLC
June 25, 1992 - March 10, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
February 23, 1989 - June 30, 1992
FIDELITY BROKERAGE SERVICES LLC
April 18, 1984 - February 25, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 4/26/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UAT RESOURCES, LLC
CRD#: 161378 / SEC#: , 8-69073
Contact information
Documents
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.
