Warren E. Spehar
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.
Warren Edward Spehar was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1969. Warren had worked at 18 firms and has passed the Series 15, Series 1, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1989 - April 29, 1999
FIRST WESTCHESTER SECURITIES
May 2, 1986 - May 31, 1989
WILLIAM M. CADDEN & CO., INC.
October 28, 1985 - November 5, 1985
PALICO LLC
July 22, 1985 - April 19, 1986
VINCENT, THOMAS & ASSOCIATES, INC.
October 26, 1984 - April 1, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
May 9, 1979 - October 24, 1983
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1978 - July 22, 1980
LOEB PARTNERS
September 26, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
May 5, 1977 - October 7, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
September 24, 1976 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
April 28, 1976 - October 13, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC
August 4, 1975 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
September 18, 1974 - November 6, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
September 18, 1974 - November 6, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
September 18, 1974 - November 6, 1975
IDS LIFE INSURANCE COMPANY
January 28, 1974 - September 22, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 25, 1969 - February 28, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 15
Date: 2/7/1986
Foreign Currency Options ExaminationSeries 1
Date: 3/21/1969
Registered Representative ExaminationCurrent Firm
FIRST WESTCHESTER SECURITIES
CRD#: 23484 / SEC#: , 8-40576
Contact information
Documents
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.
