Willie G. Warrington

3RD STREET CAPITAL MANAGEMENT L.L.C.

Baton Rouge, LA 70801

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CRD#: 2634363

Professional summary

Willie Gerald Warrington JR, who also goes by Jerry Warrington, Willie Gerald Warrington, is a registered financial advisor currently at 3RD STREET CAPITAL MANAGEMENT L.L.C. located in Baton Rouge, Louisiana.

Willie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Willie has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jerry Warrington | Willie Gerald Warrington

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) - RIA

Click below to view Willie Gerald Warrington JR'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

March 18, 2013 - Present

3RD STREET CAPITAL MANAGEMENT L.L.C.

Office #1: 251 Florida Street Suite 407, Baton Rouge, LA 70801

RIA

CRD#: 165950

Baton Rouge, LA

Past

September 2, 2004 - March 18, 2013

COMMONWEALTH ADVISORS INC

RIA

CRD#: 106401

MOBILE, AL

Past

August 30, 2000 - September 14, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MOBILE, AL

Past

November 4, 1998 - September 14, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 6, 1998 - November 16, 1998

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

December 9, 1996 - September 2, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

October 17, 1995 - October 3, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 17, 1995 - October 3, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Alabama
(9/13/2013)

IAR

Louisiana
(3/18/2013)

IAR

Mississippi
(1/6/2014)

IAR

Texas
(12/13/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/20/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/27/2000

General Securities Sales Supervisor - General Module Examination

Current Firm

3RD STREET CAPITAL MANAGEMENT L.L.C.

3RD STREET CAPITAL MANAGEMENT L.L.C. | WARRINGTON JR., WILLIE GERALD | 3RD STREET CAPITAL MANAGEMENT LLC

CRD#: 165950 / SEC#:

Alabama

Registered Investment Advisory firm - (9/12/2013 Approved)

Louisiana

Registered Investment Advisory firm - (3/18/2013 Approved)

Mississippi

Registered Investment Advisory firm - (1/2/2014 Approved)

Texas

Registered Investment Advisory firm - (12/13/2013 Approved)

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Contact information

Main Address

251 Florida Street Suite 407, Baton Rouge, LA 70801

Mailing Address

Phone number

(225) 385-7800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 51,780,520

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.

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Advisor Monitoring

Firm Stability Insights

Willie G. Warrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willie Gerald Warrington JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH ADVISORS INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FISERV INVESTOR SERVICES, INC.

WADDELL & REED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2012

Series 63

Date: 9/12/1995

Series 7

Date: 10/16/1995

Series 9

Date: 1/20/2001

Series 10

Date: 11/27/2000

Current Firm

3RD STREET CAPITAL MANAGEMENT L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

3RD STREET CAPITAL MANAGEMENT L.L.C.

TRUST BUT VERIFY

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