Andrew S. Warning
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.
Andrew S Warning, who also goes by Andrew Scott Warning Mr, Andrew Scott Warning, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2020 - July 25, 2024
CONNECTUS WEALTH
June 25, 2013 - June 30, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
June 25, 2013 - June 30, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
July 10, 2012 - June 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 2012 - June 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2009 - May 29, 2012
SECURITIES AMERICA ADVISORS, INC.
December 16, 2008 - May 29, 2012
SECURITIES AMERICA, INC.
July 13, 2007 - February 6, 2009
BRECEK & YOUNG ADVISORS, INC.
October 27, 2005 - June 29, 2007
W&S BROKERAGE SERVICES, INC.
September 7, 2001 - December 31, 2004
FIDELITY BROKERAGE SERVICES LLC
January 27, 2000 - September 7, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
June 15, 1999 - December 31, 1999
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONNECTUS WEALTH
CRD#: 310912 / SEC#: 801-119970
Contact information
Regulatory assets under management
| Total Number of Accounts | 12,022 |
| AUM (Assets Under Management) | $ 8,674,470,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2024 | ||
| 10/18/2023 | ||
| 12/22/2022 |
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.
