James A. Warner
WARNER WEALTH
MADISON, CT 06443
Some features on this profile are disabled
CRD#: 5991972
Professional summary
James Alan Warner, CFP®, who also goes by James Warner, is a registered financial advisor currently at WARNER WEALTH located in Madison, Connecticut and LPL FINANCIAL LLC located in Shelton, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Warner
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. Licensed insurance agent 2. Warner Allred Tax Solutions, LLC - minority owner, tax and accounting services 3. 11/27/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Start Date 10/07/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Notary Public. 4. 10/11/2022 - The Warner Group - Investment Related - At Reported Business Location(s) - Insurance Agency - Insurance Licensed Agent - Start Date - 10/15/2022 - 20 Hours Per Month/0 Hours During Securities Trading 5. 3/14/2023 - Warner Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/31/2023 - 120 Hours Per Month/120 Hours During Securities Trading 6. 05/15/2023 - Warner Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/11/2023 - 200 Hours Per Month/8 Hours During Securities Trading 7. 09/21/2023 - Warner Wealth - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 09/01/2022 - 4 Hours Per Month/ 0 Hours During Trading 8. 09/25/2024 - Crump Life Insurance Services - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/28/2024 - 10 Hours Per Month/ During Trading 9. 11/04/2024 - Warner Allred Tax Solutions - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 20 Hours Per Month/ 0 Hours During Trading 10. 04/11/2025 - Warner Wealth - Investment Related - Registered Investment Advisor Hybrid - Location - Home Based, At Reported Business Location(s) - Start Date: 04/02/2025 - 200 Hrs/Mth - 160 Hrs During Trading.I provide investment advisory services through Warner Wealth, an independent investment advisor firm. I started this business activity in 04/2025. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view James Alan Warner'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®
CFP®
Start date: 2014
Experience
Current
April 3, 2025 - Present
WARNER WEALTH
Office #1: 869 Boston Post Road, Madison, CT 06443RIA
CRD#: 334877
MADISON, CT
Current
November 15, 2011 - Present
LPL FINANCIAL LLC
Office #1: One Enterprise Drive Suite 105, Shelton, CT 06484Office #2: 869 Boston Post Road, Madison, CT 06443RIA
BD
CRD#: 6413
Shelton, CT
Past
October 1, 2018 - April 3, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, CT
Past
October 13, 2015 - October 1, 2018
NORTHSTAR WEALTH PARTNERS LLC
RIA
CRD#: 169409
Shelton, CT
Past
November 22, 2011 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, CT
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".
WW
WARNER WEALTH
WARNER GROUP LLC | WARNER WEALTH
CRD#: 334877 / SEC#: 801-132255
RIA
Registered Investment Advisory firm - (4/1/2025 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
Arizona(9/2/2015)
RR
Arkansas(10/29/2014)
RR
California(1/3/2014)
RR
Colorado(11/9/2021)
RR
Connecticut(11/22/2011)
IAR
Connecticut(4/3/2025)
RR
District of Columbia(3/30/2023)
RR
Florida(11/7/2013)
RR
Georgia(2/21/2018)
RR
Idaho(8/26/2025)
RR
Illinois(8/9/2023)
RR
Indiana(9/9/2020)
RR
Iowa(11/8/2023)
RR
Maine(1/3/2019)
RR
Massachusetts(12/19/2018)
RR
Michigan(11/4/2025)
RR
Missouri(6/22/2017)
RR
New Hampshire(2/23/2021)
RR
New Jersey(5/21/2019)
RR
New York(12/4/2013)
RR
North Carolina(5/8/2020)
RR
Ohio(8/7/2014)
RR
Pennsylvania(1/3/2014)
RR
Rhode Island(11/30/2016)
RR
South Carolina(2/9/2015)
RR
Texas(8/11/2021)
IAR
Texas(9/4/2025)
RR
Vermont(5/4/2016)
RR
Virginia(1/3/2014)
RR
Washington(1/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WARNER WEALTH
WARNER GROUP LLC | WARNER WEALTH
CRD#: 334877 / SEC#: 801-132255
RIA
Registered Investment Advisory firm - (4/1/2025 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
869 Boston Post Road, Madison, CT 06443
Mailing Address
Phone number
(203) 929-2727
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,111 |
| AUM (Assets Under Management) | $ 362,848,230 |
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.
Company Information
WARNER WEALTH
CRD#: 334877Madison, CT 06443TRUST BUT VERIFY
Monitor James Warner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
