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WM

Warren B. Minton

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CRD#: 2509445
WM

Professional summary

Warren Benjamin Minton JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Warren is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Warren had worked at 2 firms, which includes ARGENT SECURITIES INC., H.J. MEYERS & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 1996 - October 4, 1996

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

August 16, 1994 - September 25, 1995

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1994
General Securities Representative Examination

Current Firm

AS
ARGENT SECURITIES, INC.
ARGENT SECURITIES, INC. | TRI CONTINENTAL SECURITIES, INC. | STONEWORTH SECURITIES, INC. | ARGENT/STONEWORTH SECURITIES, INC.

CRD#: 15297 / SEC#: , 8-31952

BD
Terminated by SEC on 12/07/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 06/04/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

ARGENT SECURITIES, INC.

CRD#: 15297

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