Marcus G. Warren

WARREN WEALTH MANAGEMENT & TAX PLANNING

Louisville, KY 40222

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CRD#: 4522297

Professional summary

Marcus George Warren is a registered financial advisor currently at WARREN WEALTH MANAGEMENT & TAX PLANNING INC. located in Louisville, Kentucky.

Marcus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Marcus has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

Syndicate Ins Solutions Incorporated; owner/insurance agent; investment related; 9300 Shelbyville Road, Suite 1204, Louisville, KY 40222; sell insurance products; Start date 1/2021; 10 hrs/mo. WHAS Crusade for Children; Non Investment Related; Louisville, KY 40202; Board Member; Attend meetings and advise on endowment; Start date 01/2017, .5 hrs/mo Financial Empowerment Academy; Non Investment Related; Louisville, KY 40241; Board of Directors; Attend monthly meetings, vote on motions; Start date 10/2017, 3hrs/mo Tax Preparation; Non Investment Related; Louisville, KY 40223; Preparation of tax returns, federal and state; Start date 01/2012, 2 hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus George Warren's 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

April 7, 2020 - Present

WARREN WEALTH MANAGEMENT & TAX PLANNING INC.

Office #1: 9300 Shelbyville Road Suite 1204, Louisville, KY 40222

RIA

CRD#: 305992

Louisville, KY

Past

September 21, 2018 - December 31, 2019

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Arden Hills, MN

Past

September 17, 2013 - August 13, 2018

J. HAGAN CAPITAL, INC.

RIA

CRD#: 168467

LOUISVILLE, KY

Past

March 25, 2009 - September 6, 2013

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

LOUISVILLE, KY

Past

January 5, 2009 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

SAN DIEGO, CA

Past

January 5, 2009 - September 6, 2013

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

LOUISVILLE, KY

Past

February 14, 2005 - December 31, 2008

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

LOUISVILLE, KY

Past

February 11, 2005 - December 31, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

LOUISVILLE, KY

Past

September 3, 2004 - January 5, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

November 26, 2003 - September 8, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

June 5, 2002 - October 1, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Indiana
(9/16/2021)

IAR

Kentucky
(4/7/2020)

IAR

Ohio
(9/15/2021)

IAR

Tennessee
(11/10/2021)

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 65

Date: 12/31/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/4/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/11/2006

General Securities Principal Examination

Current Firm

WARREN WEALTH MANAGEMENT & TAX PLANNING INC.

WARREN WEALTH MANAGEMENT & TAX PLANNING INC. | WARREN WEALTH MANAGEMENT AND TAX PLANNING INC.

CRD#: 305992 / SEC#:

Indiana

Registered Investment Advisory firm - (9/15/2021 Approved)

Kentucky

Registered Investment Advisory firm - (4/7/2020 Approved)

Ohio

Registered Investment Advisory firm - (9/15/2021 Approved)

Tennessee

Registered Investment Advisory firm - (11/9/2021 Approved)

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Contact information

Main Address

9300 Shelbyville Road Suite 1204, Louisville, KY 40222

Mailing Address

Phone number

(502) 339-8255

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 24,500,000

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

Marcus G. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus George Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT ADVISORS, LLC

J. HAGAN CAPITAL, INC.

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/2004

Series 63

Date: 6/7/2002

Series 7

Date: 6/4/2002

Series 24

Date: 4/11/2006

Current Firm

WARREN WEALTH MANAGEMENT & TAX PLANNING INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WARREN WEALTH MANAGEMENT & TAX PLANNING INC.

TRUST BUT VERIFY

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