Benjamin T. Warwick

ADVISORS PREFERRED LLC

Rockville, MD 20850

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CRD#: 1528739

Professional summary

Benjamin Troy Warwick, who also goes by Ben Warwick, is a registered financial advisor currently at ADVISORS PREFERRED LLC located in Rockville, Maryland and TANDEM FINANCIAL, LLC located in Greenwood Village, Colorado.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Benjamin has worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 3, SIE, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Warwick

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.

1) Quantitative Equity Strategies, LLC, Investment-related, 8822 Ridgeline Boulevard, Suite 220, Highlands Ranch, CO 80129, CEO, 2002, 8 hours/month during securities trading hours, pass-through entity for tax purposes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Troy Warwick'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®

None

Experience

Current

November 1, 2024 - Present

ADVISORS PREFERRED LLC

Office #1: 1445 Research Boulevard #530, Rockville, MD 20850

RIA

CRD#: 157980

Rockville, MD

Current

September 4, 2025 - Present

TANDEM FINANCIAL, LLC

Office #1: 8400 E. Prentice Avenue Suite 1360, Greenwood Village, CO 80111

RIA

CRD#: 292565

GREENWOOD VILLAGE, CO

Past

January 24, 2023 - December 31, 2024

SOVEREIGN PRIVATE EQUITY MANAGEMENT, LLC

RIA

CRD#: 130097

Highlands Ranch, CO

Past

June 23, 2020 - October 1, 2025

AVEO CAPITAL PARTNERS, LLC

RIA

CRD#: 157728

ENGLEWOOD, CO

Past

May 12, 2017 - July 9, 2020

FORT POINT CAPITAL PARTNERS LLC

RIA

CRD#: 146759

HIGHLANDS RANCH, CO

Past

January 5, 2017 - June 26, 2017

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

November 10, 2010 - January 10, 2013

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

April 12, 2007 - March 4, 2009

OMNIVEST, INC.

CRD#: 13396

HIGHLANDS RANCH, CO

Past

February 9, 2007 - November 15, 2010

SOVEREIGN WEALTH MANAGEMENT INC

RIA

CRD#: 109024

MEMPHIS, TN

Past

September 3, 2004 - December 31, 2005

OCCAM CAPITAL ADVISORS, LLC

RIA

CRD#: 132328

HIGHLANDS RANCH, CO

Past

August 6, 2004 - December 31, 2022

SOVEREIGN PRIVATE EQUITY MANAGEMENT, LLC

RIA

CRD#: 130097

HIGHLANDS RANCH, CO

Past

April 17, 2003 - October 2, 2006

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

HIGHLANDS RANCH, CO

Past

February 24, 1997 - March 23, 2001

TRIVE NEW YORK LLC

CRD#: 21946

NEW YORK, NY

Past

April 16, 1992 - January 4, 1995

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

July 11, 1986 - October 7, 1986

BLACKSTOCK & CO., INC.

CRD#: 8469

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".

ADVISORS PREFERRED LLC

ADVISORS PREFERRED LLC | KENSINGTON ANALYTICS

CRD#: 157980 / SEC#: 801-72430

RIA

Registered Investment Advisory firm - (6/6/2011 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/4/2025)

IAR

Maryland
(11/1/2024)

IAR

Texas
(9/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/10/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/8/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/27/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 6/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 7/19/2019

NFA Branch Manager Examination

Current Firm

ADVISORS PREFERRED LLC

ADVISORS PREFERRED LLC | KENSINGTON ANALYTICS

CRD#: 157980 / SEC#: 801-72430

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

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Contact information

Main Address

1445 Research Boulevard #530, Rockville, MD 20850

Mailing Address

Phone number

(866) 842-3356

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 1,693,540,353

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin T. Warwick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Troy Warwick's CRS (Customer Relationship Summary).

Certified licenses

Experience

TANDEM FINANCIAL, LLC

SOVEREIGN PRIVATE EQUITY MANAGEMENT, LLC

AVEO CAPITAL PARTNERS, LLC

FORT POINT CAPITAL PARTNERS LLC

FRONTIER SOLUTIONS, LLC

FRONTIER SOLUTIONS, LLC

OMNIVEST, INC.

SOVEREIGN WEALTH MANAGEMENT INC

OCCAM CAPITAL ADVISORS, LLC

SOVEREIGN PRIVATE EQUITY MANAGEMENT, LLC

GUGGENHEIM DISTRIBUTORS, LLC

TRIVE NEW YORK LLC

WACHOVIA SECURITIES, INC.

BLACKSTOCK & CO., INC.

Primary Firm SEC Registration

ADVISORS PREFERRED LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2004

Series 65

Date: 10/8/1993

Series 63

Date: 4/21/1992

Series 3

Date: 6/27/2019

SIE

Date: 6/26/2017

Series 7

Date: 4/14/1992

Series 6

Date: 7/10/1986

Series 30

Date: 7/19/2019

Current Firm

ADVISORS PREFERRED LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

ADVISORS PREFERRED LLC

TRUST BUT VERIFY

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