Warren Thomas Boulter
Professional Summary
Warren Thomas Boulter was a registered financial advisor. Warren was a previously registered financial advisor and started their career in finance 1970 - 2006. Warren had worked at 5 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
WINDWARD SECURITIES CORPORATION
Contact Information
Established
New Hampshire since 05/28/2003Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERSON PILOT SECURITIES CORPORATION | DIRECT OWNER | 3870 |
| ANGARELLA, RONALD RICHARD | DIRECTOR CHAIRMAN & CEO | 1785580 |
| ARMSTRONG, DAVID EDWARD | VICE PRESIDENT | 2465424 |
| BOOTH, DAVID KENNETH | PRESIDENT & DIRECTOR | 2030529 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT | 1745774 |
| CORNELIO, CHARLES CARMEN | DIRECTOR | 2081506 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT & DIRECTOR | 831061 |
| KENNEDY, MARTY EUGENE | VICE PRESIDENT | 2556052 |
| MANGO, PAULA LEMIRE | ASST. VP, PRIVACY AND AML OFFICER | 1060500 |
| MURRAY, MICHAEL FRANCIS | VICE PRESIDENT | 2074275 |
| SALAMY, KIM JAY | ASSISTANT VICE PRESIDENT | 1545465 |
| SALAMY, MARGARET ANN | ASSISTANT VICE PRESIDENT | 1578398 |
| STEVENSON, MICHAEL ROBERT | ASSISTANT VICE PRESIDENT | 2432668 |
| WAGNER, KENNETH LEE | CHIEF COMPLIANCE OFFICER | 1113763 |
| WESTON, JOHN ARTHUR | VICE PRESIDENT & TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Dec 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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