Irving F. Warman

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CRD#: 459070

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.

Irving Fred Warman, who also goes by Irving F Warman, was a registered financial professional .

Irving is a previously registered financial professional and started their career in finance in 1969. Irving had worked at 12 firms and has passed the Series 63, Series 3, PC, Series 7, Series 000, Series 1 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Irving F Warman

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

June 8, 2005 - February 10, 2009

GMS GROUP

CRD#: 8000

MIAMI, FL

Past

April 26, 2001 - August 6, 2001

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

Past

June 17, 1999 - August 30, 1999

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

April 26, 1999 - May 11, 1999

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

June 12, 1997 - March 19, 1999

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

November 4, 1994 - May 5, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 4, 1981 - November 28, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 29, 1979 - September 25, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 1, 1978 - April 2, 1979

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

January 18, 1978 - May 28, 1978

LOEB PARTNERS

CRD#: 7534

Past

October 11, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

July 1, 1976 - August 18, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

April 25, 1969 - December 8, 1973

STEINER, ROUSE & CO., INC.

CRD#: 787

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".

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/5/1990

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 8/9/1984

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 6/19/1976

General Securities Representative Examination

General Industry/Product Exam

Series 000

Date: 9/16/1966

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/16/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/29/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Mailing Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Phone number

(973) 535-5000

Established

Delaware since 03/05/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE GMS GROUP DISCLOSURE BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
GMS GROUP HOLDINGS CORP	MEMBER
CAPONE, CARMINE CLAUDIO	EXECUTIVE VICE PRESIDENT/DIRECTOR	1124455
DEMBOWSKI, DANIELLE DENISE	CHIEF FINANCIAL OFFICER	5855269
DONOHUE, TIMOTHY JOSEPH	SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO	725373
DONOHUE, TIMOTHY JOSEPH	PRESIDENT	725373
ESTANISLAO, LEONARDO	CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR	4622553
FELDMAN, JUSTYN SETH	SENIOR VICE PRESIDENT - DIRECTOR	2283535
FELDMAN, MELVIN	DIRECTOR, SR VICE PRESIDENT	205924
KONSIG, PAUL ROBERT	CEO	500443
KONSIG, PAUL ROBERT	DIRECTOR	500443
KOROSTOFF, DAVID BRUCE	DIRECTOR, SR. VICE PRESIDENT	1205712
LENZI, JEFFREY PAUL	SENIOR VICE PRESIDENT/DIRECTOR	2452390
LIPMAN, MATTHEW ERIC	SECRETARY	2367335
MANTE, PAUL DAVID	SENIOR VICE PRESIDENT - DIRECTOR	4911949
MCKENNA, MICHAEL JAMES	EXECUTIVE VICE PRESIDENT	1524460
PRICE, BARBARA BENEDICT	DIRECTOR, SR. VICE PRESIDENT	17944
VESSELS, STEPHEN GLENN	SENIOR VICE PRESIDENT/DIRECTOR	2403660

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 13,887,060

Disclosures

Regulatory Event	7
Arbitration	10

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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Irving F. Warman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BNP PARIBAS INVESTMENT SERVICES, LLC

GKN SECURITIES CORP.

PFIC SECURITIES CORPORATION

FISERV INVESTOR SERVICES, INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

SHEARSON HAYDEN STONE INC.

STEINER, ROUSE & CO., INC.

Primary Firm SEC Registration

GMS GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1987

Series 3

Date: 2/5/1990

PC

Date: 8/9/1984

Series 7

Date: 6/19/1976

Series 000

Date: 9/16/1966

Series 1

Date: 9/16/1966

Series 9

Date: 3/29/2007

Current Firm

GMS GROUP

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GMS GROUP

TRUST BUT VERIFY

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