Caleb James Warren
CFP®Professional Summary
Caleb James Warren, CFP® is a registered financial advisor currently at WARREN FINANCIAL, LLC 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Financial Planning
- Investment Management
- Tax Planning
- Estate & Legacy Planning
- Cashflow & Budgeting
- Retirement Planning
- Business Services
Specializations
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.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
Languages
xxxxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
WARREN FINANCIAL | WARREN, CALEB, JAMES | WARREN FINANCIAL, LLC | WARREN FINANCIAL LLC
Contact Information
Main Address
1147 Hammond St Ste 3, Bangor, ME 04401Phone Number
(207) 573-1825# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
132AUM (Assets Under Management)
$27,909,062Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2023About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Caleb James Warren's CRS (Customer Relationship Summary).
Services Offered by Caleb
- Financial Planning
- Investment Management
- Tax Planning
- Estate & Legacy Planning
- Cashflow & Budgeting
- Retirement Planning
- Business Services
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