Kay M. 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.
Kay Margaret Warren, who also goes by Kay Adamek, Kay Margaret Condiss, Kay M Condiss, Kay M Matyas, Kay Margaret Matyas, was a registered financial professional .
Kay is a previously registered financial professional and started their career in finance in 1984. Kay had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 3, Series 7, Series 14, Series 9, Series 10, 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
April 13, 2012 - May 6, 2021
THORNBURG INVESTMENT MANAGEMENT INC
April 11, 2012 - May 4, 2021
THORNBURG SECURITIES LLC
June 1, 2009 - February 9, 2012
MORGAN STANLEY
June 1, 2009 - February 9, 2012
MORGAN STANLEY
March 30, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 23, 1984 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
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: 11/18/2022
General Securities Representative ExaminationSeries 15
Date: 11/30/1992
Foreign Currency Options ExaminationSeries 8
Date: 12/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THORNBURG INVESTMENT MANAGEMENT INC
CRD#: 106357 / SEC#: 801-17853
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 45,288,445,586 |
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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