Nicholas M. Warner
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.
Nicholas M Warner, who also goes by Nick Warner, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2010. Nicholas had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - September 15, 2015
HBW SECURITIES LLC
April 11, 2014 - September 16, 2014
GWN SECURITIES INC.
April 11, 2014 - September 16, 2014
GWN SECURITIES INC.
September 6, 2013 - April 14, 2014
LEGEND ADVISORY, LLC
September 6, 2013 - April 14, 2014
LEGEND EQUITIES CORPORATION
May 27, 2011 - October 23, 2013
LPL FINANCIAL LLC
April 27, 2011 - October 23, 2013
LPL FINANCIAL LLC
September 14, 2010 - May 12, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HBW SECURITIES LLC
CRD#: 136959 / SEC#: , 8-67056
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBW INSURANCE AND FINANCIAL SERVICES INC. | OWNER | |
| BONANNO, JOSEPH ANTHONY JR. | CHIEF OPERATING OFFICER & CFO | 1907829 |
| BROERSMA, JOEL DARRIN | OWNER/SHAREHOLDER | 2779679 |
| BROWN, MICHAEL OWEN | FINOP | 1658070 |
| COWEN, LOUISE APRIL | PRINCIPAL | 4914680 |
| HELLENBRAND, BARNETT DAVID | CEO/PRESIDENT | 1141518 |
| LINDER, SARAH BETH | CHIEF COMPLIANCE OFFICER | 5084656 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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