Warren A. Straub
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.
Warren Alan Straub, who also goes by Warren A Straub, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 2011. Warren had worked at 4 firms and has passed the Series 66, Series 7TO, 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 1, 2023 - November 4, 2025
CAPITAL ANALYSTS
July 21, 2023 - November 4, 2025
LINCOLN INVESTMENT
July 13, 2023 - November 4, 2025
LINCOLN INVESTMENT
May 12, 2015 - December 20, 2019
CHARLES SCHWAB & CO., INC.
May 12, 2015 - December 20, 2019
CHARLES SCHWAB & CO., INC.
October 4, 2013 - April 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2013 - April 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 24, 2011 - August 28, 2013
LINCOLN INVESTMENT
July 25, 2011 - August 28, 2013
LINCOLN INVESTMENT
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Series 7TO
Date: 7/13/2023
General Securities Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
