Claude M. Warren

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CRD#: 5417362

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Claude Morris Warren, who also goes by Claude Morris Warren, was a registered financial professional .

Claude is a previously registered financial professional and started their career in finance in 2008. Claude had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Claude Morris 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 3, 2012 - November 6, 2013

WILKINS MILLER WEALTH MANAGEMENT, LLC

RIA

CRD#: 162222

MOBILE, AL

Past

December 3, 2012 - August 7, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MOBILE, AL

Past

September 19, 2008 - December 3, 2012

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

MOBILE, AL

Past

September 18, 2008 - December 3, 2012

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

MOBILE, AL

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".

WILKINS MILLER WEALTH MANAGEMENT, LLC

WILKINS MILLER HIERONYMUS WEALTH MANAGEMENT, LLC | WILKINS MILLER WEALTH MANAGEMENT, LLC

CRD#: 162222 / SEC#: 801-125952

RIA

Registered Investment Advisory firm - (6/23/2022 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/27/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/2008

General Securities Representative Examination

Current Firm

WILKINS MILLER WEALTH MANAGEMENT, LLC

WILKINS MILLER HIERONYMUS WEALTH MANAGEMENT, LLC | WILKINS MILLER WEALTH MANAGEMENT, LLC

CRD#: 162222 / SEC#: 801-125952

RIA

Registered Investment Advisory firm - (6/23/2022 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/27/2022 Terminated)

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Contact information

Main Address

41 West Interstate 65, Service Road North Suite 400, Mobile, AL 36608

Mailing Address

Po Box 70047, Mobile, AL 36670

Phone number

(251) 410-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WM WEALTH MANAGEMENT FORM ADV PART 2A BROCHURE (2/12/2025)

Regulatory assets under management

Total Number of Accounts	521
AUM (Assets Under Management)	$ 220,080,000

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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Firm Stability Insights

Claude M. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILKINS MILLER WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

WILKINS MILLER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2008

Series 7

Date: 9/17/2008

Current Firm

WILKINS MILLER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILKINS MILLER WEALTH MANAGEMENT, LLC

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