Solutions
Warren Wealth extends broker-dealer sponsorship to independent investment bankers, placement agents, and institutional financiers, providing them with a trusted platform to excel in their endeavors.
The Registered Person Affiliate Program by Warren Wealth provides qualified individuals with the chance to operate under a FINRA-licensed broker-dealer, allowing you to invest more time and resources on what you do best.
Broker-Dealer Services
Warren Wealth offers comprehensive Broker-Dealer Services, providing expert support and infrastructure for independent investment bankers, placement agents, and institutional financiers. Benefit from our experience, compliance assistance, and access to premier research platforms.
Banking Services
Warren Wealth provides a range of Banking Services, catering to diverse financial needs with expertise in investment banking, securities offerings, and institutional finance. Trust us for tailored solutions and reliable support.
To become a broker-dealer with Warren Wealth, candidates must meet the following criteria:
- Possess a minimum of 10 years of experience in investment banking, securities offerings, mergers and acquisitions, registered investment advising (RIA), institutional finance, or related fields.
- Demonstrate the ability to source and execute deals independently.
- Maintain a clean compliance record and pass a regulatory background check without difficulty.
- Currently hold a registered broker-dealer relationship or be within a two-year window of affiliation, or be prepared to pass the necessary FINRA Registered Representatives (RR) licensing/financial advisor exams, including the Securities Industry Essentials (SIE) exam, Series 7, 63, 79, and 82 exams, among others.
WHAT WE DO
Benefits of Working with us
Deal Referring
Connecting clients with bespoke financial solutions through expert referrals, bridging the gap between banking and brokerage.
Cost
Efficient cost analysis service optimizing financial strategies, enhancing profitability for banking and brokerage clients.
Branding Choices
Banking service connecting clients with tailored financial solutions through personalized referrals and expert guidance.
Flexibility
Adaptable financial solutions catered to diverse needs, offering flexibility and convenience for banking and brokerage clients.