Benjamin C. Warren

TUMWATER WEALTH MANAGEMENT

BOISE, ID 83702

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CRD#: 4840451

Professional summary

Benjamin Carl Warren is a registered financial advisor currently at TUMWATER WEALTH MANAGEMENT, LLC located in Boise, Idaho.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Benjamin has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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.

Benjamin Carl Warren is a board member for Northwest Christian Credit Union.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Carl Warren's CRS (Customer Relationship Summary).

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

February 26, 2019 - Present

TUMWATER WEALTH MANAGEMENT, LLC

Office #1: 110 W Main St, Boise, ID 83702

RIA

CRD#: 300443

BOISE, ID

Past

February 26, 2016 - January 2, 2019

RW INVESTMENT MANAGEMENT LLC

RIA

CRD#: 282707

BOISE, ID

Past

July 1, 2014 - February 26, 2016

RATHBONE WARWICK INVESTMENT MANAGEMENT

RIA

CRD#: 171115

BOISE, ID

Past

May 10, 2007 - July 3, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BOISE, ID

Past

April 26, 2007 - July 3, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BOISE, ID

Past

August 11, 2004 - December 8, 2006

MWA FINANCIAL SERVICES INC.

CRD#: 112630

NAMPA, ID

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".

TUMWATER WEALTH MANAGEMENT, LLC

CRD#: 300443 / SEC#: 801-118103

RIA

Registered Investment Advisory firm - (2/20/2020 Approved)

Idaho

Registered Investment Advisory firm - (2/25/2020 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).

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

California
(3/21/2022)

IAR

Idaho
(2/26/2019)

IAR

Texas
(2/20/2020)

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 66

Date: 5/9/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TUMWATER WEALTH MANAGEMENT, LLC

CRD#: 300443 / SEC#: 801-118103

RIA

Registered Investment Advisory firm - (2/20/2020 Approved)

Idaho

Registered Investment Advisory firm - (2/25/2020 Terminated)

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Contact information

Main Address

110 W Main St, Boise, ID 83702

Mailing Address

Phone number

(208) 314-2114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-TUMWATER WEALTH MANAGEMENT, LLC (7/11/2025)

Regulatory assets under management

Total Number of Accounts	875
AUM (Assets Under Management)	$ 349,507,379

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

Benjamin C. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Carl Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

RW INVESTMENT MANAGEMENT LLC

RATHBONE WARWICK INVESTMENT MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MWA FINANCIAL SERVICES INC.

Primary Firm SEC Registration

TUMWATER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2007

Series 63

Date: 8/14/2004

Series 7

Date: 4/25/2007

Series 6

Date: 8/10/2004

Current Firm

TUMWATER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUMWATER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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