Warren S. Braswell

FIRST ADVISORS NATIONAL

Rocky Mount, NC 27804

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CRD#: 4361379

Professional summary

Warren S Braswell is a registered financial advisor currently at FIRST ADVISORS NATIONAL, LLC located in Rocky Mount, North Carolina.

Warren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Warren has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 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.

Statewide Insurers Group, Not investment related, Rocky Mount, NC, Life Insurane and Annuities, President, 06/2016, 20 hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren S Braswell's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 25, 2013 - Present

FIRST ADVISORS NATIONAL, LLC

Office #1: 880 Country Club Rd, Rocky Mount, NC 27804

RIA

CRD#: 166212

Rocky Mount, NC

Past

August 16, 2011 - December 31, 2012

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

NASHVILLE, NC

Past

April 3, 2009 - December 31, 2011

BRASWELL WEALTH MANAGEMENT LLC

RIA

CRD#: 149848

NASHVILLE, NC

Past

October 23, 2008 - March 25, 2009

EDWARD JONES

RIA

CRD#: 250

BATTLEBORO, NC

Past

May 3, 2001 - March 25, 2009

EDWARD JONES

CRD#: 250

BATTLEBORO, NC

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/25/2013)

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: 10/16/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/30/2001

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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Firm Stability Insights

Warren S. Braswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren S Braswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTE FOR WEALTH ADVISORS, INC.

BRASWELL WEALTH MANAGEMENT LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2008

Series 63

Date: 5/3/2001

Series 7

Date: 4/30/2001

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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