PW
Peter M. Warren
VICTORY FINANCIAL
Austin, TX 78730
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CRD#: 5731252
PW
Professional summary
Peter Merrill Warren, who also goes by Peter M Warren, Peter Merrill Warren, Peter Warren, is a registered financial advisor currently at VICTORY FINANCIAL located in Austin, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Peter has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter M Warren | Peter Merrill Warren | Peter 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) Victory Financial Group. Investment Related. At Registered Location. RIA. IAR. 08/2023. 160 hours per month.30 trading hours. Sr. Advisor, an investment advisor. 2) Rental Properties. Not Investment Related. 18 North Prairie Dr. Dallas Texas. 8307 Coolgreene Dr Dallas,TX 75228. 2223 Healey Dr. Dallas, TX 75228. Landlord. 50% Owner. Feb 2017. 1 hour per month; 1 hour trading hours. Various misc. landlord duties. 3) Foster Benefits/ Benefit Mall. Not Investment related. 12404 Park Central Dr. Suite 4005 Dallas, TX 75251. 14911 Quorum Drive Suite 100 Dallas, TX 75254 972-960-8718. Company benefits w/United Healthcare. Agent .03/2022. 3 hours per month, 1 hour during trading time| broker on group health insurance 4) Fixed Insurance. Investment related. 9957 Marlin Drive, Dallas TX 75228. Fixed Insurance. Agent. 6/2022.12 hrs. month. 4 hrs. during trading. sales of fixed/transitional insurance products. 5)PKSF. Investment-related. At the registered location. Fixed Insurance. Agent. 08/2023. 15 hrs/ monthly. 15 hrs/ trading. Provide insurance advice to based on the needs of client(s).
CRS (Client Relationship Summary) - RIA
Click below to view Peter Merrill 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
August 17, 2023 - Present
VICTORY FINANCIAL
Office #1: 6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730RIA
CRD#: 324943
Austin, TX
Current
August 23, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6500 River Place Blvd. Building 1, Suite #203, Austin, TX 78730BD
CRD#: 35747
Austin, TX
Past
March 9, 2010 - September 5, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DALLAS, TX
Past
February 5, 2010 - September 5, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH
CRD#: 324943 / SEC#: 801-127385
RIA
Registered Investment Advisory firm - (2/24/2023 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.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
RR
Arkansas(8/23/2023)
RR
California(8/23/2023)
RR
Colorado(8/23/2023)
RR
Florida(8/23/2023)
RR
Louisiana(8/23/2023)
RR
Maryland(1/16/2025)
RR
New Mexico(8/23/2023)
RR
New York(8/23/2023)
RR
Oklahoma(8/23/2023)
RR
Pennsylvania(8/23/2023)
IAR
Texas(8/17/2023)
RR
Texas(8/23/2023)
RR
Washington(8/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH
CRD#: 324943 / SEC#: 801-127385
RIA
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Contact information
Main Address
6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730
Mailing Address
Phone number
(512) 763-7671
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,210 |
| AUM (Assets Under Management) | $ 687,641,583 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
