JW
Jeffrey M. Warren
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES
SAN RAMON, CA 94583
Some features on this profile are disabled
CRD#: 5616071
JW
Professional summary
Jeffrey Michael Warren, who also goes by Jeff Warren, is a registered financial advisor currently at SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP. located in San Ramon, California and VANDERBILT SECURITIES, LLC located in San Ramon, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jeffrey has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff 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.
1) IAR Secure Retirement. Investment related. Start date: 02/14/2013. Address: 18 Crow Canyon Ct Suite 325, San Ramon CA, 94583. Title: IAR. Duties: Duties include preparing retirement forecast for income . Assisting with management of the operations of RIA. Assist clients with questions and prepare reports when called for. Making trades for RIA and client request and needs, Reviewing client request to help guide them with Medicare planning , Long Term Care planning and Social Security Claiming. Assist with preparation of client communications and client educational events. Time spent during regular hours: 50%. 2) Fixed Insurance Sales, Nationwide Life Insurance. Not Investment related. Start date: 06/25/2024. Address: 18 Crow Canyon Ct Suite 325, San Ramon CA, 94583. Title: Agent. Duties: I will offer this product as a potential source of guaranteed lifetime income to clients that have a desire to increase the amount of income that is certain in addition to social security. Time spent during regular hours: 5%.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael 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®
NoneExperience
Current
June 4, 2013 - Present
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
Office #1: 2333. San Ramon Valley Boulevard Suite 250, San Ramon, CA 94583RIA
CRD#: 132777
SAN RAMON, CA
Current
February 9, 2024 - Present
VANDERBILT SECURITIES, LLC
Office #1: 2333 San Ramon Valley Blvd. Ste 250, San Ramon, CA 94583BD
CRD#: 5953
San Ramon, CA
Past
February 7, 2013 - February 14, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
San Ramon, CA
Past
February 6, 2012 - September 5, 2012
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
DALLAS, TX
Past
September 14, 2011 - September 5, 2012
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
DALLAS, TX
Past
November 21, 2008 - September 21, 2011
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
DALLAS, 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".
SR
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
CRD#: 132777 / SEC#: 801-125823
RIA
Registered Investment Advisory firm - (6/6/2022 Approved)California
Registered Investment Advisory firm - (8/20/2022 Terminated)Colorado
Registered Investment Advisory firm - (7/29/2022 Terminated)Louisiana
Registered Investment Advisory firm - (7/25/2022 Terminated)Michigan
Registered Investment Advisory firm - (7/26/2022 Terminated)Oregon
Registered Investment Advisory firm - (8/5/2022 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
IAR
California(6/4/2013)
RR
California(2/9/2024)
RR
Colorado(2/9/2024)
RR
Florida(2/9/2024)
RR
Idaho(2/26/2024)
RR
Nevada(2/9/2024)
RR
Oregon(2/26/2024)
RR
Tennessee(2/9/2024)
RR
Texas(2/9/2024)
RR
Washington(2/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SR
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
CRD#: 132777 / SEC#: 801-125823
RIA
Registered Investment Advisory firm - (6/6/2022 Approved)California
Registered Investment Advisory firm - (8/20/2022 Terminated)Colorado
Registered Investment Advisory firm - (7/29/2022 Terminated)Louisiana
Registered Investment Advisory firm - (7/25/2022 Terminated)Michigan
Registered Investment Advisory firm - (7/26/2022 Terminated)Oregon
Registered Investment Advisory firm - (8/5/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2333. San Ramon Valley Boulevard Suite 250, San Ramon, CA 94583
Mailing Address
Phone number
(925) 855-4300
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 446 |
| AUM (Assets Under Management) | $ 92,375,144 |
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
SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
CRD#: 132777San Ramon, CA 94583TRUST BUT VERIFY
Monitor Jeffrey Warren
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
