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WS

Warren C. Stephens

BTIG
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 1880553
WS

Professional summary

Warren Clayton Stephens, who also goes by Clay Stephens, Warren Clayton Stephens Jr, Warren Stephens, is a registered financial professional currently at BTIG, LLC located in San Francisco, California.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1988. Warren has worked at 5 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clay Stephens | Warren Clayton Stephens Jr | Warren Stephens

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren Clayton Stephens's CRS (Customer Relationship Summary).
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

April 7, 2021 - Present

BTIG, LLC

Office #1: 350 Bush Street 9th Floor, San Francisco, CA 94104
BD
CRD#: 122225
San Francisco, CA
Past

April 2, 2019 - March 29, 2021

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
SAN FRANCISCO, CA
Past

April 30, 2013 - December 12, 2018

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
SAN FRANCISCO, CA
Past

September 9, 2008 - April 15, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
SAN RAFAEL, CA
Past

November 23, 1988 - June 19, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(4/7/2021)
RR
Colorado
(4/7/2021)
RR
Connecticut
(4/7/2021)
RR
Florida
(4/7/2021)
RR
Illinois
(4/7/2021)
RR
Massachusetts
(4/7/2021)
RR
New Jersey
(4/7/2021)
RR
New York
(4/7/2021)
RR
Pennsylvania
(4/7/2021)
RR
Texas
(4/7/2021)
RR
Washington
(4/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONDOR TRADING LPMANAGER/MEMBER
CZEPIEL, KYLE ROBERTCHIEF OPERATING OFFICER2360785
ENDRES, BRIAN KENNETHCFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2673131
HAMILTON, AUSTINCHIEF COMPLIANCE OFFICER2592315
LEROY, ANTON MAURICECHIEF EXECUTIVE OFFICER2862204

Disclosures

Regulatory Event11
Civil Event1

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

BTIG, LLC

CRD#: 122225San Francisco, CA 94104

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