Warren D. Saft

BROWNSTONE INVESTMENT GROUP

New York, NY 10017

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CRD#: 3110888

Professional summary

Warren Daniel Saft is a registered financial professional currently at BROWNSTONE INVESTMENT GROUP, LLC located in New York, New York.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1998. Warren has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Warren Daniel Saft'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

March 13, 2017 - Present

BROWNSTONE INVESTMENT GROUP, LLC

Office #1: 505 Fifth Avenue 10th Floor, New York, NY 10017

CRD#: 43884

New York, NY

Past

July 1, 2008 - February 16, 2017

BEDROK SECURITIES LLC

CRD#: 13134

RYE, NY

Past

March 5, 2004 - June 19, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 17, 2000 - February 23, 2004

CREDITEX GROUP, INC.

CRD#: 47847

NEW YORK, NY

Past

October 13, 1998 - April 14, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 9, 1998 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(3/13/2017)

Colorado
(12/17/2019)

Connecticut
(3/13/2017)

New Jersey
(3/13/2017)

New York
(3/13/2017)

North Carolina
(3/14/2017)

Ohio
(3/14/2017)

Texas
(3/13/2017)

Exams

State Security Law Exam

Series 63

Date: 9/22/1998

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: 9/8/1998

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BROWNSTONE INVESTMENT GROUP, LLC

BROWNSTONE INVESTMENT GROUP, LLC | THE WORLDVEST GROUP, LLC | FIFTY-FOUR CAPITAL PARTNERS

CRD#: 43884 / SEC#: , 8-50460

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

505 Fifth Avenue 10th Floor, New York, NY 10017

Mailing Address

505 Fifth Avenue 10th Floor, New York, NY 10017

Phone number

(212) 905-0550

Established

New York since 01/03/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROWNSTONE INVESTMENT OPPORTUNITIES, LLC	SOLE MEMBER
BARTMESS, JOANNE CHRISTINE	FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18)	2922047
HUNTER, MICHELLE HALLA	CHIEF COMPLIANCE OFFICER	2689083
LOWEY, DOUGLAS BENNETT	MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER	1932929
SABLOWSKY, JON SCOTT	CHIEF OPERATING OFFICER	1515334

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

Warren D. Saft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren Daniel Saft's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEDROK SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CREDITEX GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1998

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BROWNSTONE INVESTMENT GROUP, LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROWNSTONE INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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