Kathleen A. Warren

CARDINAL CAPITAL MANAGEMENT

Raleigh, NC 27608

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CRD#: 5062077

Professional summary

Kathleen Andrews Warren, CFP®, who also goes by Kathleen E Andrews, Kathleen Elizabeth Andrews Ms, Kathleen Elizabeth Andrews, Kathleen A. Warren, is a registered financial advisor currently at CARDINAL CAPITAL MANAGEMENT INC located in Raleigh, North Carolina.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Kathleen has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen E Andrews | Kathleen Elizabeth Andrews Ms | Kathleen Elizabeth Andrews | Kathleen A. Warren

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) - RIA

Click below to view Kathleen Andrews 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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

September 3, 2010 - Present

CARDINAL CAPITAL MANAGEMENT INC

Office #1: 2626 Glenwood Avenue Suite 380, Raleigh, NC 27608

RIA

CRD#: 108076

Raleigh, NC

Past

March 10, 2006 - June 12, 2006

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

NEW YORK, NY

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".

CARDINAL CAPITAL MANAGEMENT INC

CRD#: 108076 / SEC#: 801-40703

RIA

Registered Investment Advisory firm - (1/30/1992 Approved)

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

North Carolina
(9/3/2010)

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 65

Date: 9/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2006

General Securities Representative Examination

Current Firm

CARDINAL CAPITAL MANAGEMENT INC

CRD#: 108076 / SEC#: 801-40703

RIA

Registered Investment Advisory firm - (1/30/1992 Approved)

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Contact information

Main Address

2626 Glenwood Avenue Suite 380, Raleigh, NC 27608

Mailing Address

Phone number

(919) 532-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,461
AUM (Assets Under Management)	$ 891,381,455

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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Kathleen A. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Andrews Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARDINAL CAPITAL MANAGEMENT INC

THOMAS WEISEL PARTNERS LLC

Primary Firm SEC Registration

CARDINAL CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2010

Series 63

Date: 3/16/2006

Series 7

Date: 3/9/2006

Current Firm

CARDINAL CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARDINAL CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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