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WH

Warren K. Hansen

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CRD#: 3014245
WH

Professional summary

Warren Karl Hansen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Warren is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Warren had worked at 7 firms, which includes ELECTRONIC ACCESS DIRECT INC., SUNSTATE EQUITY TRADING, FIRST RESEARCH FINANCIAL, DAYLIGHT ONLINE BROKERAGE LLC, MATRIX EXECUTIONS LLC, INVESTIN SECURITIES CORP., FIDELITY BROKERAGE SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

October 4, 2004 - January 13, 2005

ELECTRONIC ACCESS DIRECT, INC.

BD
CRD#: 36975
SARASOTA, FL
Past

July 14, 2003 - October 4, 2004

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

May 1, 2002 - June 30, 2003

FIRST RESEARCH FINANCIAL

BD
CRD#: 27915
DALLAS, TX
Past

November 10, 2000 - May 15, 2002

DAYLIGHT ONLINE BROKERAGE, LLC

BD
CRD#: 47897
ADDISON, TX
Past

August 24, 2000 - October 11, 2000

MATRIX EXECUTIONS, LLC

BD
CRD#: 38455
CHICAGO, IL
Past

June 2, 1999 - August 2, 2000

INVESTIN SECURITIES CORP.

BD
CRD#: 39295
DALLAS, TX
Past

March 23, 1998 - May 27, 1999

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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.

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/8/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/20/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/23/1999
Registered Options Principal Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/01/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

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 Event2

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.

Company Information

ELECTRONIC ACCESS DIRECT, INC.

CRD#: 36975

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