Frederick Richard Warren
Investment Adviser Representative at Stifel Independent Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Frederick Richard Warren is an investment adviser representative with Stifel Independent Advisors, LLC in Wichita, KS, where they have been registered since 2007. They have worked in the securities industry since 1989 and have been registered with 3 firms, including Fahnestock Asset Management and Stifel Nicolaus & Co Inc Investment Services. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Kansas and Texas.
Registrations & licenses
- Investment adviser:
- Kansas, Texas
- Broker:
8 states and territories
Arizona, Arkansas, Colorado, Kansas, New Jersey, New Mexico, Pennsylvania, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Stifel Independent Advisors, LLCMar 2007 – Aug 2026Wichita, KS
- Equitable Advisors, LLCAug 2026 – no end date reportedWichita, KS
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Stifel Independent Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 80
- Offices listed on AdvisorFinder:
- 24
- Main office:
- St Louis, MO
- SEC file number:
- 801-43561
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 3, 2026
View full firm profileOther advisors at Stifel Independent Advisors, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Frederick Richard Warren has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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