Caleb J. Warren

WARREN FINANCIAL | Financial Advisor

BANGOR, ME 04401

CRD#: 7075385

Professional summary

Caleb James Warren, CFP® is a registered financial advisor currently at WARREN FINANCIAL located in Bangor, Maine.

Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Caleb has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 9 exams.

Biography

Caleb knows the importance of financial planning for his clients and enjoys helping them reach their goals. He accomplishes this by applying a wealth management process to define client goals and create recommendations to attain them. In addition to providing financial planning, Caleb helps business owners structure their business retirement plans to reduce risk by evaluating fees, using a process for investment selection and providing education to employees.

Question & Answer

What are your service offerings?

Financial Planning,

Investment Management,

Tax Planning,

Estate Planning

Do you have an area of expertise or specialization?

Cash Flow Analysis,

Customized Portfolios,

Estate Planning,

Executive Compensation (ISO, R...

High Net Worth Planning,

Investment Management,

Retirement Planning,

Tax Planning and Preparation,

Trust and Estate Planning,

Small Business Planning

What is your minimum asset requirement?

500K

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.

-Caleb James Warren is an independent licensed insurance agent. INVESTMENT RELATED: NO ADDRESS: 1147 Hammond St Ste 3, Bangor ME 04401 NATURE OF BUSINESS: Life, Disability, & LTC insurance TITLE: INSURANCE AGENT START DATE: 11/23/2023 APPROX # OF HOURS/MONTH: 3 # OF HOURS DURING TRADING HOURS: 3 DESCRIPTION OF DUTIES: Provide insurance to clients if needed. Including contracting, locating, and price assessment.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

June 23, 2025 - Present

WARREN FINANCIAL

Office #1: 1147 Hammond St Ste 3, Bangor, ME 04401

RIA

CRD#: 334439

BANGOR, ME

Past

November 20, 2023 - September 9, 2025

AVERY ROCK FINANCIAL, LLC

RIA

CRD#: 319132

Bangor, ME

Past

November 15, 2023 - December 6, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Bangor, ME

Past

October 6, 2023 - December 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Bangor, ME

Past

June 20, 2019 - November 15, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BANGOR, ME

Past

May 13, 2019 - September 20, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Bangor, ME

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

Maine
(6/23/2025)

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: 12/6/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/10/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/1/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 9

Date: 2/6/2023

General Securities Sales Supervisor - Options Module Examination

Current Firm

WARREN FINANCIAL

WARREN FINANCIAL | WARREN, CALEB, JAMES | WARREN FINANCIAL LLC

CRD#: 334439 / SEC#:

Maine

Registered Investment Advisory firm - (6/23/2025 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1147 Hammond St Ste 3, Bangor, ME 04401

Mailing Address

Phone number

(207) 573-1825

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

xxxxxxx

Similar Advisors

Jenifer Butler

BIRCHBROOK

IAR

BANGOR, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Caleb J. Warren

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Warren's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVERY ROCK FINANCIAL, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2023

Series 7TO

Date: 5/10/2019

SIE

Date: 3/1/2019

Series 9

Date: 2/6/2023

Current Firm

WARREN FINANCIAL

Contact information

Documents

Red Flags

Company Information

WARREN FINANCIAL

TRUST BUT VERIFY

Contact information

Similar Advisors