Warren J. Warsitz
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.
Warren James Warsitz was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1968. Warren had worked at 5 firms and has passed the Series 65, Series 31, PC, Series 1, Series 8 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
February 28, 2008 - March 1, 2013
S.C. PARKER & CO., INC.
August 21, 2002 - February 27, 2008
1ST DISCOUNT BROKERAGE, INC.
August 16, 2000 - August 21, 2002
ACUMENT SECURITIES, INC.
September 8, 1988 - August 22, 2000
UBS FINANCIAL SERVICES INC.
February 20, 1968 - August 16, 1988
ADVEST, INC.
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 2/14/1968
Registered Representative ExaminationSeries 8
Date: 9/15/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 10/2/1973
Registered Principal ExaminationCurrent Firm
S.C. PARKER & CO., INC.
CRD#: 734 / SEC#: , 8-11979
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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