KW
Kenneth D. Warnick
WESTMINSTER FINANCIAL ADVISORY CORP
Beavercreek, OH 45440
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CRD#: 1415675
KW
Professional summary
Kenneth David Warnick, who also goes by Ken Warnick, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Beavercreek, Ohio and WESTMINSTER FINANCIAL SECURITIES, INC. located in Beavercreek, Ohio.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Warnick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SELF EMPLOYED - ACCOUNTING AND TAX PREP SERVICES. NON-INVESTMENT RELATED. 28851 LEAMINGTON DR, FARMINGTON HILLS, MI 48334 8 HOURS/MONTH. NO HOURS DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth David Warnick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 17, 2015 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 50 Chestnut Street Suite A-400, Beavercreek, OH 45440RIA
CRD#: 110283
Beavercreek, OH
Current
June 29, 2009 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 50 Chestnut Street Suite A-200, Beavercreek, OH 45440BD
CRD#: 20677
Beavercreek, OH
Past
October 26, 2009 - April 24, 2014
WESTMINSTER FINANCIAL ADVISORY CORP
RIA
CRD#: 110283
BEAVERCREEK, OH
Past
March 6, 1996 - June 15, 2009
EQUITAS AMERICA, LLC
BD
CRD#: 39806
MAUMEE, OH
Past
March 13, 1992 - September 19, 1995
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
May 15, 1990 - March 16, 1992
J.W. KORTH & COMPANY
BD
CRD#: 26455
LANSING, MI
Past
March 6, 1987 - May 15, 1990
J. W. KORTH & COMPANY
BD
CRD#: 17090
FARMINGTON HILLS, MI
Past
November 12, 1985 - January 28, 1987
J.W. KORTH & COMPANY, INC.
BD
CRD#: 13139
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/27/2018)
RR
Arizona(11/9/2009)
RR
California(1/29/2020)
RR
Florida(8/14/2023)
RR
Illinois(12/2/2024)
RR
Kentucky(10/7/2022)
IAR
Kentucky(10/7/2022)
RR
Maine(9/29/2022)
IAR
Maine(10/11/2022)
RR
Michigan(10/13/2009)
IAR
Michigan(8/17/2015)
RR
Minnesota(10/22/2009)
RR
North Carolina(9/3/2020)
RR
Ohio(10/26/2009)
IAR
Ohio(9/28/2015)
RR
Pennsylvania(6/29/2009)
RR
Rhode Island(9/10/2019)
IAR
Rhode Island(9/10/2019)
RR
South Carolina(11/7/2022)
RR
Texas(10/17/2022)
RR
Virginia(11/15/2022)
RR
Washington(10/14/2019)
IAR
Washington(10/14/2019)
RR
West Virginia(6/29/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
Company Information
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283Beavercreek, OH 45440TRUST BUT VERIFY
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