William F. Warner

SENTINEL ASSET MANAGEMENT

Westport, CT 06880

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CRD#: 2653464

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.

Question & Answer

What are your service offerings?

Divorce Planning

Investment Planning

Estate Planning

Comprehensive Financial Planni...

Tax Planning

Retirement Planning

Are you a "fiduciary"?

Yes

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.

(1) 03/15/2000: Warner Financial Group Inc. - inv rel - teach seminars on financial products (2) 01/22/2007: Warner Financial Group Inc. - inv rel - Non-Variable Insurance - 2% of time spent - ins types: life, health, disability, long-term care, fixed annuities, property & casualty (3) 10/21/2008: Warner Financial Group Inc. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business locations(s) 4). 04/24/2019 - Granite Insurance LLC - Investment related - At reported business location(s) - Insurance Agency - start date:04/09/2019 - 10 hrs/mo - 1 hrs during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Frederick Warner'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®

CFP^®

Certified Financial Planner

Start date: 2001

ChFC^®

Chartered Financial Consultant

Experience

Current

June 18, 2019 - Present

SENTINEL ASSET MANAGEMENT, LLC

Office #1: 136 Main St. Suite 201 Brooks Corner, Westport, CT 06880Office #2: 1062 Barnes Road Suite 202, Wallingford, CT 06492

RIA

CRD#: 302082

Westport, CT

Past

April 12, 2000 - May 29, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

KILLINGWORTH, CT

Past

February 7, 2000 - May 29, 2019

LPL FINANCIAL LLC

CRD#: 6413

KILLINGWORTH, CT

Past

September 13, 1995 - February 24, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

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

Connecticut
(6/18/2019)

IAR

Maryland
(5/15/2024)

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 66

Date: 3/31/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/14/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/30/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SENTINEL ASSET MANAGEMENT, LLC

CRD#: 302082 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/18/2019 Approved)

Maryland

Registered Investment Advisory firm - (5/15/2024 Approved)

Texas

Registered Investment Advisory firm - (9/24/2025 Conditional Restricted)

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Contact information

Main Address

1062 Barnes Road Suite 202, Wallingford, CT 06492

Mailing Address

Phone number

(203) 793-0707

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	446
AUM (Assets Under Management)	$ 36,743,934

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

William F. Warner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Frederick Warner's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2000

Series 63

Date: 8/25/1995

SIE

Date: 10/1/2018

Series 31

Date: 9/14/2006

Series 7

Date: 2/16/2000

Series 6

Date: 8/25/1995

Series 24

Date: 9/23/2004

Series 26

Date: 7/30/1999

Current Firm

SENTINEL ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SENTINEL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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