Clarence W. Warren

Some features on this profile are disabled

CRD#: 4502517

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.

Clarence William Warren was a registered financial advisor .

Clarence is a previously registered financial advisor and started their career in finance in 2002. Clarence had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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.

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

May 10, 2002 - June 8, 2012

WARREN FINANCIAL SERVICE

RIA

CRD#: 119066

DOWNINGTOWN, PA

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/2001

Uniform Investment Adviser Law Examination

Current Firm

WARREN FINANCIAL SERVICE

WARREN FIANCIAL SERVICE & ASSOCIATES, INC. | WARREN FINANCIAL SERVICE & ASSOCIATES, INC. | WARREN FINANCIAL SERVICE

CRD#: 119066 / SEC#: 802-127869

RIA

Registered Investment Advisory firm - (3/31/2023 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2014 Terminated)

Illinois

Registered Investment Advisory firm - (4/9/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/22/2014 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7 Dowlin Forge Rd, Exton, PA 19341

Mailing Address

Phone number

(610) 363-2000

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC REQUIRED ADV PART 2 DEC 2021 V1.0 (8/3/2022)

SEC WRAP FEE BROCHURE DEC 2021 V1.0 (3/2/2022)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	3/31/2023

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clarence W. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WARREN FINANCIAL SERVICE

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2001

Current Firm

WARREN FINANCIAL SERVICE

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

WARREN FINANCIAL SERVICE

TRUST BUT VERIFY

Similar Advisors