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Barbara Anne Warner

Warner Financial, Inc

Bethesda, MD

CRD 1129399

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Employer firm

Warner Financial, Inc CRD 135303

$852M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Warner Financial, Inc

4550 Montgomery Ave Suite 352 North, Bethesda, MD 20814 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-10-29
TX RA APPROVED_RES 2014-01-10
  • MD RA
    APPROVED
    Since 2024-10-29
  • TX RA
    APPROVED_RES
    Since 2014-01-10

Branch Locations

Bethesda, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Warner Financial Inc. Bethesda MD 04/2005 Present
Cambridge Investment Research, Inc Fairfield IA 08/2009 09/2017
  • 04/2005 → Present
    Warner Financial Inc.
    Bethesda, MD
  • 08/2009 → 09/2017
    Cambridge Investment Research, Inc
    Fairfield, IA
Previous Registrations
  • 2003-01-29 → 2005-08-17
    Windsor Financial, Llc
    Mclean, VA
  • 1987-09-10 → 2003-03-10
    Windsor Financial Group, Inc.
    Bethesda, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-20
S63 Uniform Securities Agent State Law Examination 1983-05-31
  • S65 Uniform Investment Adviser Law Examination
    1994-06-20
  • S63 Uniform Securities Agent State Law Examination
    1983-05-31
Designations
  • Certified Financial Planner
Other Names
  • Barbara Anne Murray

View on SEC IAPD

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