Warren L. Dunnavant

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 4848992

Professional summary

Warren Lewis Dunnavant II, who also goes by Warren Dunnavant, Warren Lewis Dunnavant, Warren Lewis II Dunnavant, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Warren is registered as a RR (Registered Representative) and started their career in finance in 2007. Warren has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Warren Dunnavant | Warren Lewis Dunnavant | Warren Lewis Ii Dunnavant

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) - BD

Click below to view Warren Lewis Dunnavant II'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

August 8, 2024 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

September 26, 2022 - May 17, 2024

BMO CAPITAL MARKETS CORP.

CRD#: 16686

New York, NY

Past

March 20, 2017 - September 23, 2022

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 16, 2009 - March 10, 2017

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEW YORK, NY

Past

February 10, 2009 - December 11, 2009

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

November 14, 2007 - March 17, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(8/8/2024)

Exams

State Security Law Exam

Series 63

Date: 12/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 1/26/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/13/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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

Warren L. Dunnavant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren Lewis Dunnavant II's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

OPPENHEIMER & CO. INC.

ROTH CAPITAL PARTNERS, LLC

MERRIMAN CAPITAL, INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 1/26/2008

Series 7

Date: 11/13/2007

Series 10

Date: 1/2/2023

Series 24

Date: 6/26/2017

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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