Michael P. Warren

PROSHARE ADVISORS LLC

Bethesda, MD 20814

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CRD#: 2889993

Professional summary

Michael Paul Warren, who also goes by Michael P Warren, Michael Warren, is a registered financial advisor currently at PROSHARE ADVISORS LLC located in Bethesda, Maryland and PROFUNDS DISTRIBUTORS, INC. located in Bethesda, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael P Warren | Michael Warren

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Paul Warren'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®

None

Experience

Current

January 10, 2024 - Present

PROSHARE ADVISORS LLC

Office #1: 7272 Wisconsin Avenue 21st Floor, Bethesda, MD 20814

RIA

CRD#: 134155

Bethesda, MD

Current

November 14, 2023 - Present

PROFUNDS DISTRIBUTORS, INC.

Office #1: 7272 Wisconsin Avenue 21st Floor, Bethesda, MD 20814

CRD#: 19541

Bethesda, MD

Past

September 30, 2022 - November 6, 2023

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Westminster, MD

Past

September 30, 2022 - November 6, 2023

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

March 28, 2013 - September 12, 2022

PROSHARE ADVISORS LLC

RIA

CRD#: 134155

BETHESDA, MD

Past

April 21, 2003 - September 12, 2022

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

January 30, 2001 - August 12, 2002

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

BALTIMORE, MD

Past

January 13, 2001 - August 12, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

July 13, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 10, 1998 - July 1, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 24, 1997 - July 20, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 30, 1997 - June 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROSHARE ADVISORS LLC

PROSHARE ADVISORS LLC | XTRASHARE ADVISORS LLC

CRD#: 134155 / SEC#: 801-64181

RIA

Registered Investment Advisory firm - (4/14/2005 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/14/2023)

Alaska
(11/14/2023)

Arizona
(11/14/2023)

Arkansas
(11/14/2023)

California
(11/14/2023)

Colorado
(11/14/2023)

Connecticut
(11/14/2023)

Delaware
(11/14/2023)

District of Columbia
(11/14/2023)

Florida
(11/14/2023)

Georgia
(11/14/2023)

Hawaii
(11/14/2023)

Idaho
(11/14/2023)

Illinois
(11/14/2023)

Indiana
(11/14/2023)

Iowa
(11/14/2023)

Kansas
(11/14/2023)

Kentucky
(11/14/2023)

Louisiana
(11/14/2023)

Maine
(11/14/2023)

Maryland
(11/14/2023)

IAR

Maryland
(1/10/2024)

Massachusetts
(11/14/2023)

Michigan
(11/14/2023)

Minnesota
(11/14/2023)

Mississippi
(11/14/2023)

Missouri
(11/14/2023)

Montana
(11/14/2023)

Nebraska
(11/14/2023)

Nevada
(11/14/2023)

New Hampshire
(11/14/2023)

New Jersey
(11/14/2023)

New Mexico
(11/14/2023)

New York
(11/14/2023)

North Carolina
(11/14/2023)

North Dakota
(11/14/2023)

Ohio
(11/14/2023)

Oklahoma
(11/14/2023)

Oregon
(11/14/2023)

Pennsylvania
(11/14/2023)

Puerto Rico
(11/14/2023)

Rhode Island
(11/14/2023)

South Carolina
(11/14/2023)

South Dakota
(11/14/2023)

Tennessee
(11/14/2023)

Texas
(11/14/2023)

Utah
(11/14/2023)

Vermont
(11/14/2023)

Virginia
(11/14/2023)

Washington
(11/14/2023)

West Virginia
(11/14/2023)

Wisconsin
(11/14/2023)

Wyoming
(11/14/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PROSHARE ADVISORS LLC

PROSHARE ADVISORS LLC | XTRASHARE ADVISORS LLC

CRD#: 134155 / SEC#: 801-64181

RIA

Registered Investment Advisory firm - (4/14/2005 Approved)

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Contact information

Main Address

7272 Wisconsin Avenue 21st Floor, Bethesda, MD 20814

Mailing Address

Phone number

(240) 497-6400

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 74,000,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Michael P. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Paul Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFUNDS DISTRIBUTORS, INC.

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

FIRST UNION BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PROSHARE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/1997

Series 63

Date: 8/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/29/1997

FINRA

Current Firm

PROSHARE ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

PROSHARE ADVISORS LLC

TRUST BUT VERIFY

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