Benjamin Troy Warwick
How is this counted?
Counted from the earlier of the person's first job or first state securities exam on their SEC record (currently the Series 63, 65 or 66). The SIE, futures exams and earlier firm registrations are not counted. The count runs to the end of their latest job, or this year if a job is still open. It includes every employer listed, even outside investment work, and any gaps between jobs. The SEC record lists jobs held in about the last 10 years, so jobs that ended before then are not counted. Years are counted by calendar year, so the figure can run up to a year high. This is not a measure of skill or quality.
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Services the firm offers
These describe the firm as a whole, not only this advisor.
Experience
34 years since the first job or state securities exam on the SEC record. Counts all jobs listed.
- Tandem Financial, LLCSep 2025 to now
- Advisors Preferred LLCNov 2024 to now
- Aveo Capital PartnersJun 2020 to now
- Quantitative Equity Strategies, LLCOct 2002 to now
- Fort Point Capital Partners LLCMay 2017 to Jun 2020
- Family Wealth Management, LLCOct 2016 to Mar 2024
- Qes Private Equity, LLCApr 2007 to Oct 2024
- Sovereign Private Equity Management, LLCApr 2007 to Sep 2023
Exams passed
- Series 63 · Uniform Securities Agent State Law1992
- Series 65 · Uniform Investment Adviser Law1993
- Series 66 · Uniform Combined State Law2004
State registrations
Registered as an investment adviser representative in 2 states (CO, TX).
Tandem Financial, LLC
Official records
Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- 1528739
- 292565