Stephen Warren
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.
Stephen Warren, who also goes by Stephen Garnett Warren, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2018. Stephen had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2020 - December 31, 2025
SERAPHIM WEALTH ADVISORS, INC.
December 23, 2019 - August 21, 2020
MML INVESTORS SERVICES, LLC
December 13, 2019 - August 21, 2020
MML INVESTORS SERVICES, LLC
August 6, 2018 - October 30, 2019
EDWARD JONES
July 25, 2018 - October 30, 2019
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SERAPHIM WEALTH ADVISORS, INC.
CRD#: 309457 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 49,515,377 |
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.
