Andrew D. 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.
Andrew David Warren, who also goes by Andrew Warren, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2014. Andrew had worked at 5 firms and has passed the Series 99TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2019 - October 24, 2025
PALAFOX TRADING LLC
April 16, 2019 - October 24, 2025
CITADEL SECURITIES LLC
April 16, 2019 - October 24, 2025
CITADEL SECURITIES INSTITUTIONAL LLC
April 16, 2019 - October 24, 2025
CITADEL CLEARING LLC
March 31, 2014 - August 31, 2015
GOLDMAN SACHS & CO. LLC
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 99TO
Date: 4/16/2019
Operations Professional ExaminationCurrent Firm
PALAFOX TRADING LLC
CRD#: 131114 / SEC#: , 8-66420
Contact information
Documents
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.
