Warren B. Argo
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.
Warren Baker Argo, who also goes by Buddy Argo, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1969. Warren had worked at 10 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1999 - August 2, 2001
AMERICAN INVESTMENT SERVICES, INC.
September 15, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 15, 1988 - September 28, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 15, 1988 - September 28, 1989
OSAIC FA, INC.
April 14, 1987 - July 9, 1988
FIRST AFFILIATED SECURITIES, INC.
April 21, 1986 - April 11, 1987
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 29, 1985 - September 27, 1985
LEHMAN BROTHERS INC.
January 24, 1979 - November 21, 1979
SOUTHLAND SECURITIES, INC.
October 26, 1973 - February 8, 1979
A. G. EDWARDS & SONS, INC.
February 25, 1969 - November 25, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 2/21/1969
Registered Representative ExaminationSeries 00
Date: 4/23/1974
General Securities Principal ExaminationCurrent Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
