Brandon Warres

FSAM LLC

Alpharetta, GA 30005

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CRD#: 6926123

Professional summary

Brandon Warres, who also goes by Brandon Scott Warres, is a registered financial advisor currently at FSAM LLC located in Alpharetta, Georgia and FIRST SOUTHERN, LLC located in Alpharetta, Georgia.

Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Brandon has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brandon Scott Warres

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Warres's CRS (Customer Relationship Summary).

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

November 7, 2019 - Present

FSAM LLC

Office #1: 1720 Windward Concourse Suite 115, Alpharetta, GA 30005

RIA

CRD#: 287851

Alpharetta, GA

Current

January 10, 2020 - Present

FIRST SOUTHERN, LLC

Office #1: 1720 Windward Concourse, Suite 115, Alpharetta, GA 30005

CRD#: 282756

Alpharetta, GA

Past

November 6, 2019 - October 5, 2020

FIRST SOUTHERN SECURITIES, LLC.

CRD#: 153133

ALPHARETTA, GA

Past

August 16, 2018 - January 31, 2019

EDWARD JONES

RIA

CRD#: 250

Atlanta, GA

Past

July 23, 2018 - January 31, 2019

EDWARD JONES

CRD#: 250

Atlanta, GA

Past

April 19, 2018 - May 30, 2018

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

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".

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Georgia
(11/7/2019)

Georgia
(1/10/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/30/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 6/16/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/19/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

Registered Investment Advisory firm - (8/12/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

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Contact information

Main Address

1720 Windward Concourse Suite 115, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 777-9373

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSAM, LLC PART 2A FIRM BROCHURE (10/15/2025)

FSAM LLC WRAP FEE BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 112,853,411

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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Advisor Monitoring

Firm Stability Insights

Brandon Warres

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Warres's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST SOUTHERN, LLC

FIRST SOUTHERN SECURITIES, LLC.

EDWARD JONES

EDWARD JONES

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

FSAM LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2018

Series 63

Date: 4/30/2018

Series 52TO

Date: 6/16/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2018

Series 24

Date: 9/19/2025

FINRA

Current Firm

FSAM LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSAM LLC

TRUST BUT VERIFY

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