Warren M. Driver
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 Mclain Driver, who also goes by Warren M Driver, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1986. Warren had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2020 - October 14, 2022
TD AMERITRADE, INC.
October 9, 2020 - December 31, 2023
TD AMERITRADE, INC.
February 7, 2012 - December 12, 2023
CHARLES SCHWAB & CO., INC.
February 6, 2012 - December 12, 2023
CHARLES SCHWAB & CO., INC.
December 7, 2011 - January 9, 2012
PRINCIPAL SECURITIES, INC.
October 1, 2010 - December 15, 2011
MSI FINANCIAL SERVICES, INC.
August 19, 2008 - August 30, 2010
SPC
August 1, 2008 - August 30, 2010
SIGMA FINANCIAL CORPORATION
October 23, 2007 - July 31, 2008
CUE FINANCIAL GROUP, INC.
February 23, 2005 - July 31, 2008
CUE FINANCIAL GROUP, INC.
May 29, 2003 - February 23, 2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 7, 2002 - December 18, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 6, 2000 - April 10, 2002
WMA SECURITIES, INC.
March 25, 1997 - December 8, 1998
BA INVESTMENT SERVICES, INC.
September 1, 1994 - February 19, 1997
GAINEY FINANCIAL SERVICES, INC.
December 14, 1992 - September 6, 1994
SCHNEIDER SECURITIES, INC.
April 22, 1991 - December 1, 1992
C. M. BLAIR, W. O. FOSTER & CO., INC.
February 15, 1988 - April 19, 1989
LEHMAN BROTHERS INC.
March 19, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 20, 1986 - March 23, 1987
PRINCETON AMERICAN EQUITIES CORPORATION
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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
