James Warner has been Owner of Warner Group since February 2025, is a control person of the firm and directly owns 75% or more of it.
Warner Group LLC is a Madison, CT firm with $458M under management, 758 clients and 7 advisers across 3 offices, as of its September 2026 filing.
James Warner is CEO and Lead Wealth Advisor of Warner Wealth. He heads a team that focuses on multi-generational planning and management and specializes in estate and tax planning, business retirement plans, retirement income and education funding strategies. In 2011 he merged his practice with his father's, which was established in 1983. Before joining Warner Wealth he co-founded Shore Publishing Newspapers, serving as Publisher and Chief Financial Officer.
James Warner’s longest registration was 6 years at LPL Financial LLC (2018–2025). Before joining Warner Group in 2025, James Warner was registered through LPL Financial LLC and Northstar Wealth Partners LLC.
- LPL Financial LLC– · 6 yearsMadison, CT · Adviser representative · Firm CRD 6413
- Northstar Wealth Partners LLC– · 2 yearsShelton, CT · Adviser representative · Firm CRD 169409
- LPL Financial LLC– · 4 yearsMadison, CT · Adviser representative · Firm CRD 6413
Professional designations
Listed by Warner Group
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
James Warner is registered as an investment adviser representative in 2 states. The first approvals date from April 2025; the most recent is Texas, in September 2025.
- ConnecticutSince 3 April 2025
- TexasSince 4 September 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 November 2011 |
| Series 7 | General Securities Representative Examination | 13 November 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Alan Warner
- CRD
- 5991972
- Firm
- Warner Group · CRD 334877
- Role
- Owner
- Office
- 869 BOSTON POST ROAD, Madison, CT 06443
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- warnerwm.com
Where does James Warner work?
James Warner has been Owner of Warner Group LLC since February 2025, and is a control person of the firm.
Is James Warner a financial advisor?
Yes. James Warner has a current investment-adviser registration in Connecticut and Texas, through Warner Group since April 2025.
How many years of experience does James Warner have?
James Warner has 14 years in the financial industry, since November 2011, across 3 adviser firms.
What exams has James Warner passed?
James Warner has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2011. FINRA credited James Warner with the SIE, which began in October 2018.
Where did James Warner work before Warner Group?
Before Warner Group, James Warner was registered through LPL Financial LLC, October 2018 to April 2025; Northstar Wealth Partners LLC, October 2015 to October 2018; LPL Financial LLC, November 2011 to September 2016.
Where is James Warner based?
James Warner’s registered office is in Madison, CT.
Is James Warner registered with FINRA?
Yes. James Warner has a current broker registration, under CRD 5991972.
Source: FINRA BrokerCheck
Is James Warner a CFP?
Warner Group lists James Warner with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Warner’s record?
Search CRD 5991972 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Warner’s full registration record.
- Lisa LaFondChief Compliance Officer