Barbara Warner has been President & Chief Compliance Officer of Warner Financial since February 2008, is a control person of the firm and directly owns between 50% and 75% of it. Barbara Warner holds a Degree in Communications from State University of New York.
Warner Financial, Inc is a Bethesda, MD firm with $852M under management, 256 clients and 4 advisers in one office, as of its February 2026 filing.
Barbara Warner has been a financial planner and investment adviser since establishing her own firm in 1985. She served as President of the Financial Planning Association of the National Capital Area in 1994 and as Chairman in 1995.
Barbara Warner’s longest registration is the current one, 21 years at Warner Financial since 2005. Before joining Warner Financial in 2005, Barbara Warner was registered through Windsor Financial, LLC and Windsor Financial Group, Inc.
- Warner Financial, IncCurrent– present · 21 yearsBethesda, MD · Adviser representative · Firm CRD 135303
- Windsor Financial, LLC– · 2 yearsMcLean, VA · Adviser representative · Firm CRD 124510
- Windsor Financial Group, Inc.– · 15 yearsBethesda, MD · Adviser representative · Firm CRD 115431
Investment adviser representative registrations
Barbara Warner is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from May 2005; the most recent is Texas, in January 2014.
- MarylandSince 9 May 2005
- TexasResidentSince 10 January 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 June 1994 |
| Series 24 | General Securities Principal Examination | 7 May 1987 |
| Series 7 | General Securities Representative Examination | 15 October 1983 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 May 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 4 May 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Barbara Anne Warner
- CRD
- 1129399
- Firm
- Warner Financial · CRD 135303
- Role
- President & Chief Compliance Officer
- Office
- Bethesda, MD
- Registration
- Investment adviser registration
- In the industry since
- May 1983
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- warner-financial.com
Where does Barbara Warner work?
Barbara Warner has been President & Chief Compliance Officer of Warner Financial, Inc since February 2008, and is a control person of the firm.
Is Barbara Warner a financial advisor?
Yes. Barbara Warner has a current investment-adviser registration in Maryland and Texas, through Warner Financial since May 2005.
How many years of experience does Barbara Warner have?
Barbara Warner has 43 years in the financial industry, since May 1983, across 3 adviser firms.
What exams has Barbara Warner passed?
Barbara Warner has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 65. The earliest, the Series 6, was passed in May 1983. FINRA credited Barbara Warner with the SIE, which began in October 2018.
Where did Barbara Warner work before Warner Financial?
Before Warner Financial, Barbara Warner was registered through Windsor Financial Group, Inc., September 1987 to March 2003.
Where is Barbara Warner based?
Barbara Warner’s registered office is in Bethesda, MD.
Is Barbara Warner registered with FINRA?
No. Barbara Warner has no current broker registration.
How can I verify Barbara Warner’s record?
Search CRD 1129399 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Barbara Warner’s full registration record.