Daniel Joseph Warren

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Westlake Village, CA

Previous Registrations

• 2010-06-15 → 2025-06-05
  Western International Securities, Inc.
  Sherman Oaks, CA
  Westlake Village, CA
  Westlake Village, CA
• 2007-12-18 → 2010-06-29
  Lpl Financial Llc
  Sherman Oaks, CA
  Fort Mill, SC
  Sherman Oaks, CA
• 2001-04-09 → 2007-12-18
  Pruco Securities, Llc.
  Sherman Oaks, CA
  Sherman Oaks, CA

Other Businesses

1. 06/05/2025- The Warren Group Wealth Management, Inc.- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/24/2011- 160 Hours Per Month- 28 Hours During Trading 2. 06/05/2025- WG Insurance Services- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/24/2011- 4 Hours Per Month- 2 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-15
• S63 Uniform Securities Agent State Law Examination
  1999-01-14