Warren K. Fuller
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 Kent Fuller was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1970. Warren had worked at 13 firms and has passed the Series 65, Series 63, PC, Series 3, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2017 - January 6, 2023
CURI CAPITAL, LLC
June 29, 2012 - June 7, 2017
VENNWELL, LLC
April 26, 2000 - November 13, 2012
FULLER HYLAND ADVISORS LLC
February 28, 1989 - April 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 1987 - February 28, 1989
ELDERS SECURITIES INC.
July 25, 1987 - March 16, 1988
ELDERS GOVERNMENT SECURITIES INC.
November 25, 1986 - August 10, 1987
MF GLOBAL INC.
June 29, 1984 - November 25, 1986
GELDERMANN SECURITIES INC.
March 6, 1979 - June 7, 1984
BARRINGTON TRADING COMPANY
January 10, 1978 - May 3, 1979
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1977 - February 5, 1978
KUHN LOEB & CO. INCORPORATED
February 16, 1977 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
February 24, 1970 - March 17, 1977
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
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
PC
Date: 6/24/1993
AMEX Put and Call ExamSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 1
Date: 2/20/1970
Registered Representative ExaminationCurrent Firm
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,209 |
| AUM (Assets Under Management) | $ 9,830,680,915 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2025 | ||
| 11/27/2024 | ||
| 10/27/2023 | ||
| 09/26/2022 |
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.
