Allen E. Warchol

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CRD#: 4153381

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.

Allen Edward Warchol, who also goes by Alan Edward Warchol, was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 2000. Allen had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan Edward Warchol

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

March 15, 2017 - March 28, 2020

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Wylie, TX

Past

March 13, 2009 - August 3, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

ADDISON, TX

Past

March 13, 2009 - August 3, 2016

LPL FINANCIAL LLC

CRD#: 6413

ADDISON, TX

Past

February 29, 2008 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ADDISON, TX

Past

November 19, 2004 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

ADDISON, TX

Past

May 2, 2002 - November 9, 2004

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

November 20, 2000 - July 9, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 11, 2000 - September 8, 2000

HILLTOP SECURITIES INC.

CRD#: 6220

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/28/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/2000

General Securities Representative Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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

Allen E. Warchol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

HILLTOP SECURITIES INC.

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2008

Series 63

Date: 5/15/2000

SIE

Date: 8/3/2016

Series 7

Date: 4/10/2000

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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