Warren O. White
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 Olmstead White was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1979. Warren had worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 72, SIE, Series 50, Series 7, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2014 - November 26, 2024
NW CAPITAL MARKETS INC.
January 24, 1990 - February 21, 2014
FIRST AMERICAN MUNICIPALS, INC.
June 24, 1985 - August 22, 1988
GLICKENHAUS & CO.
May 1, 1979 - April 19, 1985
MATTHEWS & WRIGHT, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
