Warren D. Nadel
Professional summary
Warren Douglas Nadel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Warren is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Warren had worked at 5 firms, which includes WARREN D. NADEL & COMPANY, JEFFERIES LLC, CIBC WORLD MARKETS CORP., LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1988 - December 8, 2011
WARREN D. NADEL & COMPANY
October 28, 1982 - May 8, 1987
JEFFERIES LLC
September 8, 1978 - September 30, 1982
CIBC WORLD MARKETS CORP.
February 24, 1978 - September 10, 1978
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 21, 1975 - February 24, 1978
LEHMAN BROTHERS INCORPORATED
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: 8/18/1975
Registered Representative ExaminationCurrent Firm
WARREN D. NADEL & COMPANY
CRD#: 20997 / SEC#: , 8-38583
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NADEL, WARREN DOUGLAS | PRESIDENT, CHIEF COMPLIANCE OFFICER | 811565 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
