Louis B. Warren Jr.

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CRD#: 2921969

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.

Louis B Warren Jr., who also goes by Louis B Warren, Louis Bancel Warren, Louis B Warren Jr, was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1997. Louis had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Louis B Warren | Louis Bancel Warren | Louis B Warren Jr

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.

1. 11/28/2018 - Colonial River Investments, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/15/2018 - 100 Hours Per Month/10 Hours During Securities Trading - I provide investment advisory services through Colonial River Investments LLC, an independent investment advisor firm. I started this business activity in 11/15/2015. I expect to spend approximately 100 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 12/3/2018 - Colonial River Investments, LLC - DBA: Colonial River Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/28/2018 - 50 Hours Per Month/5 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 20, 2019 - September 26, 2024

COLONIAL RIVER WEALTH MANAGEMENT LLC

RIA

CRD#: 284839

MIDLOTHIAN, VA

Past

September 20, 2007 - February 15, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

FAIRFAX, VA

Past

September 20, 2007 - June 3, 2021

LPL FINANCIAL LLC

CRD#: 6413

FAIRFAX, VA

Past

April 2, 2007 - August 21, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

RESTON, VA

Past

April 2, 2007 - August 21, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

RESTON, VA

Past

February 2, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RESTON, VA

Past

February 2, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

RESTON, VA

Past

January 2, 2003 - February 25, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

VIENNA, VA

Past

May 26, 2000 - February 25, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

December 15, 1998 - May 26, 2000

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

August 5, 1997 - December 9, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 5, 1997 - December 9, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/27/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/28/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/23/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/4/1997

General Securities Representative Examination

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

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Contact information

Main Address

340 Browns Hill Court, Midlothian, VA 23114

Mailing Address

Phone number

(804) 335-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLONIAL RIVER DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	1,524
AUM (Assets Under Management)	$ 339,836,345

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

Louis B. Warren Jr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

CRESTAR SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

COLONIAL RIVER WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2002

Series 65

Date: 8/27/1997

Series 63

Date: 8/20/1997

Series 7TO

Date: 3/28/2024

SIE

Date: 10/1/2018

Series 31

Date: 5/23/2006

Series 7

Date: 8/4/1997

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLONIAL RIVER WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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