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RW

Richard M. Warren

DANSKE MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 5026681
RW

Professional summary

Richard Matthew Warren is a registered financial professional currently at DANSKE MARKETS INC. located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2005. Richard has worked at 5 firms and has passed the SIE, Series 7, Series 16 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Matthew Warren'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®
None

Experience

Current

November 3, 2014 - Present

DANSKE MARKETS INC.

Office #1: 575 Fifth Avenue 33rd Floor, New York, NY 10017
BD
CRD#: 113404
New York, NY
Past

June 24, 2014 - September 22, 2014

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

November 27, 2013 - October 21, 2014

ABN AMRO SECURITIES (USA) LLC

BD
CRD#: 151796
NEW BRUNSWICK, NJ
Past

March 1, 2013 - October 20, 2014

XTELLUS CAPITAL PARTNERS, INC.

BD
CRD#: 156048
NEW YORK, NY
Past

October 5, 2005 - February 29, 2012

PORTIGON SECURITIES INC.

BD
CRD#: 10050
LONDON,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 9/27/2005
NYSE Supervisory Analyst Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DM
DANSKE MARKETS INC.
DANSKE MARKETS INC | DANSKE SECURITIES (US), INC. | DANSKE MARKETS INC.

CRD#: 113404 / SEC#: , 8-53341

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

Main Address
575 Fifth Avenue 33rd Floor, New York, NY 10017
Mailing Address
575 Fifth Avenue 33rd Floor, New York, NY 10017
Phone number
(212) 293-0600
Established
Delaware since 02/12/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DANSKE BANK A/S100% OWNER
BROFSKY, IRATREASURER, PFO, POO4839408
CREVATIN MARTIN, CAROLINADIRECTOR8059961
GRANDELL, MARJO ELINADIRECTOR8069377
GREGORY, PAUL MARTINCHAIRMAN OF THE BOARD7164045
IVERSEN, ANDERS BARRONCHIEF EXECUTIVE OFFICER, CORPORATE SECRETARY5923638
KIRSCHENBLATT, CHAD ETHANFINOP2503352
OLESEN, HANNE KOLDKURDIRECTOR6855827
OLSSON, JENNIFER GARRETTCHIEF COMPLIANCE OFFICER4395377
TORNQVIST, CHRISTIAN LARSDIRECTOR8060007
WELCH, ALLISTAIR DANIELDIRECTOR7845649

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.

Company Information

DANSKE MARKETS INC.

CRD#: 113404New York, NY 10017

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