AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
WH

Warren Karl Hansen

CRD# 3014245·Registered 1998 - 2005
Barred: Warren Karl Hansen was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Warren Karl Hansen was a registered financial advisor. Warren was a previously registered financial professional and started their career in finance 1998 - 2005. Warren had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 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.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

28 years in the financial services industry

Current & Past Employments

ELECTRONIC ACCESS DIRECT, INC.·CRD# 36975
BD
Sarasota, FL
October 4, 2004 - January 13, 2005
SUNSTATE EQUITY TRADING·CRD# 43571
BD
Tampa, FL
July 14, 2003 - October 4, 2004
FIRST RESEARCH FINANCIAL·CRD# 27915
BD
Dallas, TX
May 1, 2002 - June 30, 2003
DAYLIGHT ONLINE BROKERAGE, LLC·CRD# 47897
BD
Addison, TX
November 10, 2000 - May 15, 2002
MATRIX EXECUTIONS, LLC·CRD# 38455
BD
Chicago, IL
August 24, 2000 - October 11, 2000
INVESTIN SECURITIES CORP.·CRD# 39295
BD
Dallas, TX
June 2, 1999 - August 2, 2000
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
March 23, 1998 - May 27, 1999

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

EA
ELECTRONIC ACCESS DIRECT, INC.

ALLEN DOUGLAS DIRECT, INC. | WORLD CAPITAL GROWTH CORPORATION | G.L. BARRETT & ASSOCIATES, SECURITIES INCORPORATED | ELECTRONIC ACCESS DIRECT, INC. | ELECTRONIC ACCESS DIRECT | EADIRECT, INC.

CRD#: 36975 / SEC#: 8-47549
BD
Terminated by SEC on 11/24/2007

Contact Information

Established

Florida since 07/01/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BARRETT, RICHARD LEEPRESIDENT/CCO/FINOP2516978
EDWARDS, DONALD WILLIAM JRCHMN/CEO2539678
BERKOWITZ, WILLIAMPREFERRED OWNER—
HUGHES, ROBERT KPREFERRED OWNER—

Disclosures

Regulatory Event

2

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1998About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 1999

Series 7 — General Securities Representative Examination

Passed Mar 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1999About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jun 1999About the Series 4 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
WH
Follow Warren
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required