WC
Warren O. Curtis
INTERACTIVE FINANCIAL ADVISORS
Salt Lake City, UT 84117
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CRD#: 3270560
WC
Professional summary
Warren Olcott Curtis, CFP® is a registered financial advisor currently at INTERACTIVE FINANCIAL ADVISORS located in Salt Lake City, Utah and FORTUNE FINANCIAL SERVICES, INC. located in Salt Lake City, Utah.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Warren has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) NAME OF BUSINESS: INTERACTIVE FINANCIAL ADVISORS, INC.; NATURE OF BUSINESS: INVESTMENT ADVISORY; LOCATION: 100 Batson Court, Suite 104, New Lenox IL 60451; TITLE: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 4/2005; APPROXIMATE NUMBER OF HOURS PER MONTH: 80; APPROXIMATE NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 4. 2) NATURE OF BUSINESS: SALES AND SERVICE OF FIXED INSURANCE; LOCATION: 2885 DURHAM ROAD, SANDY, UT 84093; TITLE: AGENT; START DATE: 09/2000; APPROXIMATE NUMBER OF HOURS PER MONTH: 2; APPROXIMATE NUMBER OF HOURS DURING SECURITIES TRADING HOURS: LESS THAN 1.
CRS (Client Relationship Summary) - RIA
Click below to view Warren Olcott Curtis'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®
CFP®
Start date: 2004
Experience
Current
May 2, 2005 - Present
INTERACTIVE FINANCIAL ADVISORS
Office #1: 1414 E. 4500 S. # 3, Salt Lake City, UT 84117RIA
CRD#: 125117
Salt Lake City, UT
Current
September 18, 2020 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 1414 E 4500 South Suite 1, Salt Lake City, UT 84117BD
CRD#: 42150
Salt Lake City, UT
Past
January 9, 2017 - September 18, 2020
BROOKLIGHT PLACE SECURITIES, INC.
BD
CRD#: 15764
SANDY, UT
Past
August 2, 2010 - December 31, 2016
GWN SECURITIES INC.
BD
CRD#: 128929
SALT LAKE CITY, UT
Past
February 15, 2008 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
SALT LAKE CITY, UT
Past
March 7, 2005 - May 2, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
SALT LAKE CITY, UT
Past
February 15, 2005 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
SALT LAKE CITY, UT
Past
March 21, 2001 - February 28, 2005
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
SANDY , UT
Past
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
April 26, 2000 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
November 22, 1999 - April 20, 2000
RUSHMORE SECURITIES CORPORATION
BD
CRD#: 8392
DALLAS, TX
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".
IF
INTERACTIVE FINANCIAL ADVISORS
INTERACTIVE FINANCIAL ADVISORS | JOANNE M. WOITESHEK/INTERACTIVE FINANCIAL ADVISORS | INTERACTIVE FINANCIAL ADVISORS, INC.
CRD#: 125117 / SEC#: 801-63771
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)Arizona
Registered Investment Advisory firm - (1/4/2005 Terminated)California
Registered Investment Advisory firm - (1/4/2005 Terminated)Colorado
Registered Investment Advisory firm - (2/3/2005 Terminated)Florida
Registered Investment Advisory firm - (1/4/2005 Terminated)Georgia
Registered Investment Advisory firm - (1/4/2005 Terminated)Illinois
Registered Investment Advisory firm - (1/4/2005 Terminated)North Carolina
Registered Investment Advisory firm - (1/4/2005 Terminated)Tennessee
Registered Investment Advisory firm - (2/3/2005 Terminated)Texas
Registered Investment Advisory firm - (1/4/2005 Terminated)Virginia
Registered Investment Advisory firm - (1/4/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (1/5/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Michigan(11/16/2020)
RR
Texas(9/18/2020)
IAR
Utah(5/2/2005)
RR
Utah(9/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTERACTIVE FINANCIAL ADVISORS
INTERACTIVE FINANCIAL ADVISORS | JOANNE M. WOITESHEK/INTERACTIVE FINANCIAL ADVISORS | INTERACTIVE FINANCIAL ADVISORS, INC.
CRD#: 125117 / SEC#: 801-63771
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)Arizona
Registered Investment Advisory firm - (1/4/2005 Terminated)California
Registered Investment Advisory firm - (1/4/2005 Terminated)Colorado
Registered Investment Advisory firm - (2/3/2005 Terminated)Florida
Registered Investment Advisory firm - (1/4/2005 Terminated)Georgia
Registered Investment Advisory firm - (1/4/2005 Terminated)Illinois
Registered Investment Advisory firm - (1/4/2005 Terminated)North Carolina
Registered Investment Advisory firm - (1/4/2005 Terminated)Tennessee
Registered Investment Advisory firm - (2/3/2005 Terminated)Texas
Registered Investment Advisory firm - (1/4/2005 Terminated)Virginia
Registered Investment Advisory firm - (1/4/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (1/5/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Batson Ct. Suite 104, New Lenox, IL 60451
Mailing Address
Phone number
(630) 472-1300
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,858 |
| AUM (Assets Under Management) | $ 337,782,613 |
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.
