William Frederick Warner
CFP®, ChFC®Professional Summary
William Frederick Warner, CFP®, ChFC® is a registered financial advisor currently at SENTINEL ASSET MANAGEMENT, LLC located in Westport, Connecticut. William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. William has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Divorce Planning
- Investment Planning
- Estate Planning
- Comprehensive Financial Planning
- Tax Planning
- Retirement Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SENTINEL ASSET MANAGEMENT, LLC
Contact Information
Main Address
1062 Barnes Road Suite 202, Wallingford, CT 06492Phone Number
(203) 793-0707# of Employees
15Documents
Regulatory Assets Under Management
Total Number of Accounts
495AUM (Assets Under Management)
$63,243,905Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/18/2019)
(5/15/2024)
(4/29/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1999About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view William Frederick Warner's CRS (Customer Relationship Summary).
Services Offered by William
- Divorce Planning
- Investment Planning
- Estate Planning
- Comprehensive Financial Planning
- Tax Planning
- Retirement Planning
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