Warren D. Fosler
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 Douglas Fosler was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1996. Warren had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2017 - October 31, 2019
HIGHTOWER SECURITIES, LLC
May 1, 2017 - October 31, 2019
HIGHTOWER ADVISORS, LLC
September 24, 2010 - May 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 4, 2005 - May 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 1, 2003 - November 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 9, 2001 - July 19, 2001
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1996 - February 27, 2001
PRUCO SECURITIES, LLC.
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
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
