Rhett L. Warren
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.
Rhett Lee Warren was a registered financial professional .
Rhett is a previously registered financial professional and started their career in finance in 1998. Rhett had worked at 4 firms and has passed the Series 66, Series 63, Series 55 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
September 1, 2010 - November 10, 2011
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
August 31, 2007 - March 27, 2013
DRIVEWEALTH INSTITUTIONAL LLC
September 20, 2005 - April 27, 2006
WESTERN RESEARCH AND MANAGEMENT, L.L.C.
June 29, 1998 - April 13, 2000
HBK FINANCE L.P.
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
Series 55
Date: 9/21/2007
Limited Representative-Equity Trader ExamCurrent Firm
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
CRD#: 124902 / SEC#: 801-63079, 8-65737
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAYMEN, SHANNON | CEO/CFO/CCO/LIMITED PARTNER | 2099783 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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