WB
Warren Bane
MASTODON ADVISORY GROUP
Houston, TX
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CRD#: 4958383
WB
Professional summary
Warren Bane is a registered financial advisor currently at MASTODON ADVISORY GROUP located in Houston, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Houston, Texas.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Warren has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
1) MASTODON ADVISORY GROUP, 8820 Chatsworth Dr, Houston TX 77024, United States, 03/23/2016, Owner, RIA Affiliation - other than CIRA, INV REL, 20 HR/MO - 20 HR/MO TRADING 2) SAGE SETTLEMENT CONSULTING, 1775 ST JAMES PLACE STE 200 HOUSTON TX 77056, 01/2019, SETTLEMENT CONSULTANT, BUSINESS DEVELOPMENT AND ACCOUNTING, NIR, 100 HRS/MO 80 HRS/MO TRADING 3) VICEROY SYSTEMS, 8820 Chatsworth Dr, Houston TX 77024, United States, 12/10/2020, LLC Member, Owner/Partner of a Business Entity, NIR, 1 HR/MO - 0 HR/MO TRADING 4) FRONT PORCH FUND II LLC, 1973 W GRAY ST NO 3 HOUSTON TX 77019, 11/2022, NIR, 0 HRS/MO 0 HRS/MO TRADING 5) DOLIVER BUILD-TO-SUIT I LLC, 6363 WOODWAY DR SUITE 763 HOUSTON TX 77057, 03/2024, OWNER, REAL ESTATE HOLDING COMPANY, NIR, 0 HR/MO 0 HR/MO TRADING 6) BANE SETTLEMENT CONSULTING LLC, 8820 Chatsworth Dr, Houston TX 77024, United States, 05/12/2025, Owner, Accounting/Bookkeeping/Payroll Services, NIR, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Warren Bane's 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®
NoneExperience
Current
April 15, 2016 - Present
MASTODON ADVISORY GROUP
RIA
CRD#: 283494
Houston, TX
Current
July 24, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
HOUSTON, TX
Past
September 16, 2015 - April 20, 2016
SHELTER WEALTH STRATEGIES, LLC
RIA
CRD#: 170655
HOUSTON, TX
Past
July 4, 2005 - October 2, 2007
KERSHNER TRADING GROUP, LLC
BD
CRD#: 16908
AUSTIN, TX
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".
MA
MASTODON ADVISORY GROUP
MASTODON ADVISORY GROUP | MASTODON ADVISORY GROUP, LLC
CRD#: 283494 / SEC#: 801-121403
RIA
Registered Investment Advisory firm - (6/7/2021 Approved)Texas
Registered Investment Advisory firm - (6/9/2021 Terminated)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.RR
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
RR
Florida(10/5/2018)
RR
Texas(9/14/2015)
IAR
Texas(4/15/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MASTODON ADVISORY GROUP
MASTODON ADVISORY GROUP | MASTODON ADVISORY GROUP, LLC
CRD#: 283494 / SEC#: 801-121403
RIA
Registered Investment Advisory firm - (6/7/2021 Approved)Texas
Registered Investment Advisory firm - (6/9/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Houston, TX
Mailing Address
8820 Chatsworth Drive, Houston, TX 77024
Phone number
(713) 425-4198
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 406,552,712 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
