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MW

Mark A. Warren

ASCENDANT FINANCIAL PARTNERS
Rotonda West, FL 33947
Some features on this profile are disabled
CRD#: 2633270
MW

Professional summary

Mark Ashley Warren, who also goes by Mark A Warren, is a registered financial professional currently at ASCENDANT FINANCIAL PARTNERS, LLC located in Rotonda West, Florida.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2012. Mark has worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark A 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Ashley 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®
None

Experience

Current

June 1, 2012 - Present

ASCENDANT FINANCIAL PARTNERS, LLC

Office #1: 317 Australian Drive, Rotonda West, FL 33947
BD
CRD#: 143326
Rotonda West, FL

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
Colorado
(6/1/2012)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/19/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ASCENDANT FINANCIAL PARTNERS, LLC
ASCENDANT FINANCIAL PARTNERS, LLC

CRD#: 143326 / SEC#: , 8-67551

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

Main Address
317 Australian Drive, Rotonda West, FL 33947
Mailing Address
317 Australian Drive, Rotonda West, FL 33947
Phone number
(303) 882-7311
Established
Colorado since 08/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENDANT PARTNERS, INC100% OWNER
WYKA, SUSAN LYNNPRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER2481441

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

ASCENDANT FINANCIAL PARTNERS, LLC

CRD#: 143326Rotonda West, FL 33947

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