Andrew Warning has been Chief Compliance Officer of Williamson Legacy Group since January 2022, is not listed as a control person, but directly owns under 5% of the firm.
Williamson Legacy Group, LLC is a firm with $183M under management, 348 clients and 5 advisers across 5 offices, as of its March 2026 filing.
Andrew Warning’s longest registration was 7 years at Ross, Sinclaire & Associates, LLC (2013–2020).
- Connectus Wealth– · 3 yearsHunt Valley, MD · Adviser representative · Firm CRD 310912
- Ross, Sinclaire & Associates, LLC– · 7 yearsCincinnati, OH · Adviser representative · Firm CRD 25440
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · under a yearCincinnati, OH · Adviser representative · Firm CRD 7691
- Securities America Advisors, Inc.– · 3 yearsLavista, NE · Adviser representative · Firm CRD 110518
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 6 April 2009 |
| Series 24 | General Securities Principal Examination | 24 February 2006 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 16 December 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 October 2002 |
| Series 7 | General Securities Representative Examination | 14 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 May 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Andrew S Warning
- CRD
- 3211861
- Firm
- Williamson Legacy Group · CRD 318629
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Andrew Warning work?
Andrew Warning has been Chief Compliance Officer of Williamson Legacy Group, LLC since January 2022.
Does Andrew Warning have a current investment-adviser registration?
Andrew Warning has no current investment-adviser or broker registration.
What exams has Andrew Warning passed?
Andrew Warning has passed 6 licensing exams: the Series 63, Series 7, Series 9, Series 10, Series 24 and Series 66. The earliest, the Series 63, was passed in May 1999. FINRA credited Andrew Warning with the SIE, which began in October 2018.
Where was Andrew Warning previously registered as an investment adviser?
Andrew Warning has past investment-adviser registrations through Connectus Wealth, December 2020 to July 2024; Ross, Sinclaire & Associates, LLC, June 2013 to June 2020; Merrill Lynch, Pierce, Fenner & Smith Incorporated, July 2012 to June 2013; Securities America Advisors, Inc., April 2009 to May 2012, across 4 firms.
Is Andrew Warning registered with FINRA?
No. Andrew Warning has no current broker registration.
How can I verify Andrew Warning’s record?
Search CRD 3211861 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Warning’s full registration record.
