Matthew J. 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.
Matthew Jeffrey Warren was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2014. Matthew had worked at 4 firms and has passed the 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
March 9, 2018 - May 29, 2018
WARTHER PRIVATE WEALTH
January 17, 2017 - August 13, 2018
INDEPENDENCE CAPITAL CO., INC.
February 1, 2016 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 16, 2015 - December 31, 2015
INDEPENDENCE CAPITAL CO., INC.
August 8, 2014 - August 29, 2014
VALMARK SECURITIES, INC.
Primary Firm SEC Registration
WARTHER PRIVATE WEALTH
CRD#: 125145 / SEC#: 801-126233
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
WARTHER PRIVATE WEALTH
CRD#: 125145 / SEC#: 801-126233
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 617 |
| AUM (Assets Under Management) | $ 371,319,984 |
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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