WM
Warren Mcguire
KESTRA ADVISORY SERVICES
CHICAGO, IL 60661
Some features on this profile are disabled
CRD#: 6234902
WM
Professional summary
Warren Mcguire is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chicago, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Chicago, Illinois.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Warren has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: SBSI, Inc. Investment Related: Yes Address: 500 W. Madison St, Suite 2700 Chicago IL 60661 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Director Start Date: 12/3/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Advisor helping build new business and serve existing clients Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 12/7/2018 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Investment Advisor Representative Business Name: SBSII LLC POSITION: Managing Member NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 12/19/2022 ADDRESS: 21 Chestnut Ave, Clarendon Hills IL 60514 DESCRIPTION: I will be providing my services of leadership of organizational structure and sales to my current firm of SBSI, in which this LLC will be compensated for these services
CRS (Client Relationship Summary) - RIA
Click below to view Warren Mcguire'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®
NoneExperience
Current
December 12, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 500 West Madison Street Suite 1000, Chicago, IL 60661RIA
CRD#: 283330
CHICAGO, IL
Current
December 12, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 West Madison Street Suite 3200, Chicago, IL 60661BD
CRD#: 42046
Chicago, IL
Past
May 7, 2014 - December 11, 2018
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
August 13, 2013 - December 11, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(12/12/2018)
RR
Colorado(1/4/2024)
RR
Connecticut(12/12/2018)
RR
District of Columbia(7/5/2019)
RR
Georgia(12/12/2018)
RR
Illinois(12/12/2018)
IAR
Illinois(12/12/2018)
RR
Indiana(7/16/2021)
RR
Kansas(12/12/2018)
RR
Michigan(6/4/2024)
RR
New Jersey(2/12/2019)
RR
New York(12/12/2018)
RR
North Carolina(4/19/2024)
RR
Pennsylvania(12/12/2018)
RR
Virginia(6/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
