Christopher Warren
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.
Christopher Warren, who also goes by Christopher Kirtland Warren, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - December 3, 2014
IRC SECURITIES LLC
July 28, 2008 - December 8, 2009
CARIS & COMPANY, INC.
November 1, 2007 - August 1, 2008
B. RILEY SECURITIES, INC.
January 11, 2007 - October 30, 2007
TRUIST SECURITIES, INC.
September 8, 2005 - December 13, 2006
JANNEY MONTGOMERY SCOTT LLC
July 1, 2003 - April 22, 2005
WELLS FARGO SECURITIES, LLC
May 7, 2003 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2001 - October 25, 2002
J.P. MORGAN SECURITIES INC.
October 26, 2000 - April 12, 2001
LAZARD FRERES & CO. 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
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
