Roy D. Ames

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CRD#: 5634084

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.

Roy Dale Ames, CFP® was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 2009. Roy had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

CFP^®

CRD#: 10409

BROKEN ARROW, OK

Past

August 5, 2009 - December 22, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

TULSA, OK

Past

May 6, 2009 - December 22, 2009

LPL FINANCIAL LLC

CRD#: 6413

TULSA, OK

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".

WARBURTON CAPITAL MANAGEMENT, LLC

CRD#: 141969 / SEC#: 801-78149

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (6/19/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/19/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2013 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: 8/4/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/5/2009

General Securities Representative Examination

Current Firm

WARBURTON CAPITAL MANAGEMENT, LLC

CRD#: 141969 / SEC#: 801-78149

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (6/19/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/19/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2013 Terminated)

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Contact information

Main Address

6120 S Yale Avenue Suite 1010, Tulsa, OK 74136

Mailing Address

Phone number

(918) 794-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	1,226
AUM (Assets Under Management)	$ 701,084,221

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2024	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Roy D. Ames

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL ENGINES ADVISOR CENTER, LLC

THE MUTUAL FUND STORE

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

WARBURTON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2009

Series 7

Date: 5/5/2009

Current Firm

WARBURTON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WARBURTON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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