Joseph D. Warren

FINANCIAL PLANNING HQ

SAN ANTONIO, TX 78230

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CRD#: 6335941

Professional summary

Joseph D Warren is a registered financial advisor currently at FINANCIAL PLANNING HQ, LLC located in San Antonio, Texas.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Joseph has worked at 4 firms and has passed the Series 66, 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.

1) INSURANCE LICENSED; 6730 FREEDOM HILLS, SAN ANTONIO, TX 78242; CATEGORY: INSURANCE; INVESTMENT-RELATED: YES; TITLE: AGENT; DUTIES: OFFER TRADITIONAL LIFE INSURANCE AND FIXED ANNUITIES; START DATE: 5/2018; HOURS PER MONTH: 15; HOURS PER MONTH DURING TRADING HOURS. 2. JOSEPH WARREN; SAN ANTONIO, TX; CATEGORY: RETAIL INDUSTRY; INVESTMENT-RELATED: NO; TITLE: SELF; DUTIES: BUY USED ITEMS AND SELL ONLINE; START DATE: 12/2018; HOURS PER MONTH: 8; HOURS PER MONTH DURING TRADING HOURS: 0. 3. JOSEPH WARREN; SAN ANTONIO, TX; CATEGORY: VENDING MACHINE SERVICES; INVESTMENT-RELATED: NO; TITLE: FOUNDER/OWNER; DUTIES: FILL UP VENDING MACHINGS, COLLECT MONEY; START DATE: 01/2023; HOURS PER MONTH (ALL DURING SECURITIES TRADING HOURS): 1.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph D Warren'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®

None

Experience

Current

September 9, 2022 - Present

FINANCIAL PLANNING HQ, LLC

Office #1: 13526 George Rd. Suite 208, San Antonio, TX 78230

RIA

CRD#: 320613

SAN ANTONIO, TX

Past

May 25, 2018 - September 7, 2022

OSAIC FS, INC.

RIA

CRD#: 3870

SAN ANTONIO, TX

Past

May 25, 2018 - September 7, 2022

OSAIC FS, INC.

CRD#: 3870

SAN ANTONIO, TX

Past

March 25, 2017 - May 30, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

San Antonio, TX

Past

March 25, 2017 - May 30, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

San Antonio, TX

Past

October 22, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SAN ANTONIO, TX

Past

August 4, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SAN ANTONIO, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(9/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2014

General Securities Representative Examination

Current Firm

FINANCIAL PLANNING HQ, LLC

CRD#: 320613 / SEC#:

Texas

Registered Investment Advisory firm - (9/7/2022 Approved)

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Contact information

Main Address

13526 George Rd. Suite 208, San Antonio, TX 78230

Mailing Address

Phone number

(210) 617-7058

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Joseph D. Warren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph D Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING HQ, LLC

OSAIC FS, INC.

OSAIC FS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2014

Current Firm

FINANCIAL PLANNING HQ, LLC

Contact information

Documents

Red Flags

Company Information

FINANCIAL PLANNING HQ, LLC

TRUST BUT VERIFY

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