Philip W. Warner
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.
Philip Ward Warner was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1968. Philip had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2008 - January 29, 2015
DOMINICK & DICKERMAN LLC
May 2, 2008 - January 29, 2015
DOMINICK & DICKERMAN LLC
November 15, 2004 - May 13, 2008
WARFIELD ASSOCIATES, INC.
November 15, 2004 - May 13, 2008
WARFIELD ASSOCIATES, INC.
July 26, 2002 - November 12, 2004
NEUBERGER BERMAN BD LLC
January 17, 2001 - November 12, 2004
NEUBERGER BERMAN BD LLC
February 12, 1997 - January 25, 2001
BOWLING GREEN CAPITAL, LLC
September 24, 1981 - February 2, 1996
MORGAN STANLEY & CO. LLC
January 6, 1977 - September 25, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
March 22, 1973 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
February 25, 1968 - May 9, 1975
DREXEL HARRIMAN RIPLEY MANAGEMENT CO
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 1
Date: 4/10/1967
Registered Representative ExaminationSeries 40
Date: 2/25/1968
Registered Principal ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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.
