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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
4210 Kell Blvd Suite 200, Wichita Falls, TX 76309 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Wichita Falls | TX | 06/2009 | 03/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2021 | Present |
| Summit Financial Group | Boca Raton | FL | 03/2021 | 05/2021 |
| Warnock Wealth Management | Wichita Falls | TX | 03/2021 | Present |
| Giwa Holdings Llc | Wichita Falls | TX | 03/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| William Warnock | Wichita Falls | TX | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: GIWA HOLDINGS LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: DIVERSIFY AND GROW ASSETS START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PASSIVE INVESTOR 2. NAME OF OTHER BUSINESS: WARNOCK WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL ADVISOR START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: OWNER WITH ADVISING CLIENTS DUTIES 3. NAME OF OTHER BUSINESS: WILLIAM WARNOCK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUST ADVISOR SERVICES; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: TRUST ADVISOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE OVERSIGHT OF THE TRUST, THE ABILITY TO REMOVE OR REPLACE TRUSTEES, AND OTHER LIMITED FIDUCIARY POWERS AS DEFINED IN THE TRUST DOCUMENT, INVESTMENT ADVISORY SERVICES REMAIN GOVERNED BY CETERA ADVISORY AGREEMENTS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-16 |
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