Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Warren Randall Tyler
WARREN RANDALL TYLER, WARREN TYLER
CRD#: 5265417
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 1200 N EL DORADO PL STE F646
TUCSON, AZ 85715
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2012 - 2017 (5 years)2 FIRMS2017 - Present (7 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2010 - 2012 (2 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2012 - 2012 (<1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2010 - 2011 (1 year)
License(s)

State Registrations

B
Arizona 12/21/2017
B
New Hampshire 3/27/2018
IA
Arizona 12/21/2017
B
New Jersey 2/13/2018
B
California 12/21/2017
B
New Mexico 9/17/2018
B
Florida 11/2/2022
B
New York 8/28/2024
B
Georgia 1/21/2025
B
Ohio 12/21/2017
B
Maine 9/9/2024
B
Oregon 6/6/2023
B
Maryland 10/28/2021
B
Tennessee 2/6/2024
B
Michigan 8/24/2020
B
Texas 12/21/2017
B
Mississippi 11/18/2021
IA
Texas 1/11/2019
B
Nebraska 6/1/2018
B
Washington 11/10/2023
B
Nevada 5/24/2024
B
Wisconsin 12/12/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
1200 N EL DORADO PL STE F646, TUCSON, AZ 85715
Registered with this firm since 12/21/2017
B
EDWARD JONES (CRD#:250)
1200 N EL DORADO PL STE F646, TUCSON, AZ 85715
Registered with this firm since 12/21/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/20/2012 - 12/21/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TUCSON, AZ
B
 03/20/2012 - 12/21/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TUCSON, AZ
IA
 01/05/2012 - 03/13/2012 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TUCSON, AZ
B
 02/09/2010 - 03/13/2012 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TUCSON, AZ
IA
 06/23/2010 - 12/31/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TUCSON, AZ
IA
 03/06/2007 - 06/18/2009 EDWARD JONES (CRD#:250) TUCSON, AZ
B
 02/02/2007 - 06/18/2009 EDWARD JONES (CRD#:250) TUCSON, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.