Warren B. Meretsky
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Warren Baer Meretsky, who also goes by Warren B Meretsky, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1995. Warren had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2009 - December 10, 2012
MORGAN KEEGAN & COMPANY, LLC
October 8, 2009 - December 10, 2012
MORGAN KEEGAN & COMPANY, LLC
July 1, 2003 - October 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 27, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 12, 1995 - October 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1995 - October 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
