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JW

Joseph D. Warren

DUCERA SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 7188146
JW

Professional summary

Joseph David Warren, who also goes by Joseph David Warren, is a registered financial professional currently at DUCERA SECURITIES LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 4 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph David Warren

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) - BD

Click below to view Joseph David 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

December 15, 2024 - Present

DUCERA SECURITIES LLC

Office #1: 11 Times Square, Floor 36, New York, NY 10036Office #2: 11 Times Square, Floor 36, New York, NY 10036
BD
CRD#: 269984
New York, NY
Past

October 19, 2022 - November 6, 2024

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 19, 2021 - November 19, 2021

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 28, 2020 - May 14, 2021

FOCALPOINT SECURITIES, LLC

BD
CRD#: 133168
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
New York
(12/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/28/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/27/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DUCERA SECURITIES LLC
DUCERA SECURITIES LLC

CRD#: 269984 / SEC#: , 8-69643

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
11 Times Square, Floor 36, New York, NY 10036
Mailing Address
11 Times Square, Floor 36, New York, NY 10036
Phone number
(212) 671-9771
Established
Delaware since 05/18/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DUCERA LLCMEMBER
SCHERER, JOSHUA SCOTTCCO, EXECUTIVE REP.2522342
DOWLING, PATRICK HENRY JR.CHIEF OPERATING OFFICER6710935
HOPKINS, THOMAS JOHNFINOP, CFO1835087
KRAMER, MICHAEL ALLENMANAGER, PRINCIPAL2341638

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.

Company Information

DUCERA SECURITIES LLC

CRD#: 269984New York, NY 10036

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