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WB

Warren E. Barhorst

HIGGINBOTHAM SECURITIES
Houston, TX 77041
Some features on this profile are disabled
CRD#: 2570446
WB

Professional summary

Warren Edward Barhorst, who also goes by Warren Barhorst, Warren E Barhorst, is a registered financial professional currently at HIGGINBOTHAM SECURITIES located in Houston, Texas.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1995. Warren has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Warren Barhorst | Warren E Barhorst

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 Edward Barhorst'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®
None

Experience

Current

July 9, 2025 - Present

HIGGINBOTHAM SECURITIES

Office #1: 4424 West Sam Houston Pkwy Suite 1000, Houston, TX 77041
BD
CRD#: 335402
Houston, TX
Past

January 27, 2020 - April 2, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Houston, TX
Past

January 2, 2020 - April 2, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Houston, TX
Past

August 1, 2008 - December 31, 2019

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
HOUSTON, TX
Past

March 24, 2006 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA
CRD#: 4082
HOUSTON, TX
Past

January 11, 1995 - December 31, 2019

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
HOUSTON, TX

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
Texas
(8/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/21/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HIGGINBOTHAM SECURITIES
HIGGINBOTHAM SECURITIES | HIGGINBOTHAM SECURITIES LLC

CRD#: 335402 / SEC#: , 8-71338

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

Main Address
4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
Mailing Address
4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
Phone number
(713) 952-9990
Established
Texas since 01/21/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HIGGINBOTHAM FINANCIAL HOLDINGS, LLCOWNER
BARHORST, WARREN EDWARDMANAGER2570446
IVAN, JOHN MICHAELCHIEF COMPLIANCE OFFICER1292150
RIP, OLGAFINOP5440553

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

HIGGINBOTHAM SECURITIES

CRD#: 335402Houston, TX 77041

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