MW
Michael E. Warren
RED MOUNTAIN FINANCIAL PARTNERS
Durango, CO 81301
Some features on this profile are disabled
CRD#: 2245028
MW
Professional summary
Michael Ernest Warren, who also goes by Michael Warren, is a registered financial advisor currently at RED MOUNTAIN FINANCIAL PARTNERS located in Durango, Colorado and LPL FINANCIAL LLC located in Durango, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Warren
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. 11/29/2004 - HAWKS & EAGLES LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - NOT INV REL. - AT REPORTED BUSINESS LOCATION(S) INVOLVED W/ HAWKS & EAGLES LLC.
2. 01/07/2011 - WESTFORK INC. - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - OTHER-SUBCHAPTER S CORP, WESTFORK INC, 5% OF TIME SPENT.
3. 10/06/2014 - RED MOUNTAIN FINANCIAL PARTNERS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 200 HOURS PER MONTH - DURANGO, CO
4. 05/14/2015 - RED MOUNTAIN FINANCIAL PARTNERS - INV REL - 555 RIVERGATE LANE STE. B1-107 DURANGO CO. 81301 - REGISTERED INVESTMENT ADVISOR HYBRID - (HYBRID) RED MOUNTAIN FINANCIAL PARTNERS - START 04/17/2015 - 130 HRS/MO DURING SECS TRDG HRS
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ernest Warren'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®
NoneExperience
Current
March 13, 2015 - Present
RED MOUNTAIN FINANCIAL PARTNERS
Office #1: 555 Rivergate Lane - Suite B1-107, Durango, CO 81301RIA
CRD#: 174672
Durango, CO
Current
May 2, 2001 - Present
LPL FINANCIAL LLC
Office #1: 555 Rivergate Lane Ste B1-107, Durango, CO 81301RIA
BD
CRD#: 6413
Durango, CO
Past
May 16, 2001 - July 17, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 14, 2000 - May 4, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - May 4, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
January 5, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
May 1, 1995 - December 22, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 11, 1994 - March 28, 1995
WILLIAM LAWRENCE SECURITIES, INC.
BD
CRD#: 28569
Past
April 7, 1993 - September 28, 1994
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
RM
RED MOUNTAIN FINANCIAL PARTNERS
RED MOUNTAIN FINANCIAL PARTNERS | RED MOUNTAIN FINANCIAL PARTNERS, LLC
CRD#: 174672 / SEC#: 801-123154
RIA
Registered Investment Advisory firm - (2/9/2022 Approved)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Ohio
Registered Investment Advisory firm - (10/4/2021 Terminated)Texas
Registered Investment Advisory firm - (2/15/2022 Terminated)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.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
Arizona(12/12/2002)
IAR
Arizona(4/1/2022)
RR
California(5/2/2001)
IAR
California(3/22/2022)
RR
Colorado(5/2/2001)
IAR
Colorado(4/17/2015)
RR
Illinois(5/9/2011)
RR
Indiana(3/1/2004)
RR
Montana(5/2/2001)
IAR
Montana(2/27/2025)
RR
New Mexico(9/25/2002)
IAR
New Mexico(3/23/2022)
RR
South Carolina(10/13/2006)
RR
Texas(10/14/2005)
IAR
Texas(3/13/2015)
RR
Utah(9/18/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RM
RED MOUNTAIN FINANCIAL PARTNERS
RED MOUNTAIN FINANCIAL PARTNERS | RED MOUNTAIN FINANCIAL PARTNERS, LLC
CRD#: 174672 / SEC#: 801-123154
RIA
Registered Investment Advisory firm - (2/9/2022 Approved)Colorado
Registered Investment Advisory firm - (2/25/2022 Terminated)Ohio
Registered Investment Advisory firm - (10/4/2021 Terminated)Texas
Registered Investment Advisory firm - (2/15/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
555 Rivergate Lane - Suite B1-107, Durango, CO 81301
Mailing Address
Phone number
(970) 259-1313
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 760 |
| AUM (Assets Under Management) | $ 196,910,579 |
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.
