Harold C.n.g Warren
Professional Summary
Harold C.n.g Warren, who also goes by Harold Flack Warren III, Harold Flack Warren, Skip Warren III, was a registered financial advisor. Harold was a previously registered financial professional and started their career in finance 1987 - 2014. Harold had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Harold Flack Warren Iii, Harold Flack Warren, Skip Warren Iii
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
Past
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Current Firm
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.
Contact Information
Main Address
701 Brickell Avenue Suite 1550, Miami, FL 33131Mailing Address
701 Brickell Ave Suite 1550, Miami, FL 33131Phone Number
(646) 454-8600Established
Delaware since 05/31/1995Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2004Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1987About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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