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Detailed Report
BENJAMIN CARL WARREN
CRD#: 4840451
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Investment Adviser
TUMWATER WEALTH MANAGEMENT, LLCCRD#: 300443 101 S. CAPITOL BLVD. STE. 1603
BOISE, ID 83702
Registration History
2008201020122014201620182020202220242026IATUMWATER WEALTH MANAGEMENT, LLC (CRD# 300443)2019 - Present (6 years)IARATHBONE WARWICK INVESTMENT MA... (CRD# 282707)2016 - 2019 (2 years)IARATHBONE WARWICK INVESTMENT MA... (CRD# 171115)2014 - 2016 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2007 - 2014 (7 years)
License(s)

State Registrations

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California 3/21/2022
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Texas 2/20/2020
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Idaho 2/26/2019
Current Registration(s)
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TUMWATER WEALTH MANAGEMENT, LLC (CRD#:300443)
101 S. CAPITOL BLVD. STE. 1603, BOISE, ID 83702
Registered with this firm since 2/26/2019
Previous Registration(s)
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 02/26/2016 - 01/02/2019 RATHBONE WARWICK INVESTMENT MANAGEMENT (CRD#:282707) BOISE, ID
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 07/01/2014 - 02/26/2016 RATHBONE WARWICK INVESTMENT MANAGEMENT (CRD#:171115) BOISE, ID
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 05/10/2007 - 07/03/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) BOISE, ID
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.