Warren C. Varney
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.
Warren Charles Varney was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1985. Warren had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2014 - November 22, 2022
PEAK WEALTH GROUP LLC
September 20, 2011 - December 31, 2011
PEAK WEALTH GROUP LLC
August 10, 2011 - August 30, 2019
PEAK BROKERAGE SERVICES, LLC
July 1, 2010 - August 10, 2011
CAPE INVESTMENT ADVISORY, INC.
July 1, 2010 - August 10, 2011
CAPE SECURITIES INC.
March 6, 2006 - July 1, 2010
SSN ADVISORY, INC.
February 28, 2006 - July 1, 2010
SECURITIES SERVICE NETWORK, LLC
March 26, 2001 - March 1, 2006
FIRST HEARTLAND CONSULTANTS, INC.
November 3, 2000 - February 27, 2006
FIRST HEARTLAND CAPITAL, INC.
June 6, 1996 - November 2, 2000
CARDINAL INVESTMENTS, INC.
September 10, 1993 - May 24, 1996
NORTH AMERICAN MANAGEMENT, INC.
April 30, 1993 - July 16, 1993
RUSHMORE SECURITIES CORPORATION
June 27, 1985 - October 9, 1992
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 10/25/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
PEAK WEALTH GROUP LLC
CRD#: 150003 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 37,239,893 |
Red Flags
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