Joseph Warren has been President and CEO of Warren Capital Management since July 2005, is a control person of the firm and directly owns 75% or more of it. Joseph Warren holds a BA from the College of Charleston.
Warren Capital Management, Inc. is a Charleston, SC firm with $131M under management, 188 clients and 3 advisers in one office, as of its June 2026 filing.
Joe Warren is Founder & CEO of Warren Capital Group, based in Charleston, SC. He founded Warren Capital in 2005 after serving as Vice President and Associate Branch Manager at Morgan Stanley.
Joseph Warren’s longest registration is the current one, 21 years at Warren Capital Management since 2005. Before joining Warren Capital Management in 2005, Joseph Warren was registered through FSC Securities Corporation and Morgan Stanley.
- FSC Securities Corporation– · under a yearNewport Beach, CA · Adviser representative · Firm CRD 7461
- Morgan Stanley– · 6 yearsCharleston, SC · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Joseph Warren is registered as an investment adviser representative in 4 states. The first approvals date from October 2005; the most recent is South Carolina, in March 2013.
- District of ColumbiaSince 11 October 2005
- MarylandSince 26 February 2009
- South CarolinaSince 27 March 2013
- VirginiaSince 14 May 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 29 June 2005 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 17 July 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 27 March 2002 |
| Series 31 | Futures Managed Funds Examination | 29 November 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 12 December 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 October 1997 |
| Series 7 | General Securities Representative Examination | 15 October 1997 |
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Richard Warren
- CRD
- 2957268
- Firm
- Warren Capital Management · CRD 137449
- Role
- President; CEO
- Registration
- Investment adviser registration
- In the industry since
- February 1999
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- warcap.com
Where does Joseph Warren work?
Joseph Warren has been President; CEO of Warren Capital Management, Inc. since July 2005, and is a control person of the firm.
Is Joseph Warren a financial advisor?
Yes. Joseph Warren has a current investment-adviser registration in District of Columbia, Maryland, South Carolina and Virginia, through Warren Capital Management since October 2005.
How many years of experience does Joseph Warren have?
Joseph Warren has 27 years in the financial industry, since February 1999, across 3 adviser firms.
What exams has Joseph Warren passed?
Joseph Warren has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 31, Series 9, Series 10 and Series 24. The earliest, the Series 7, was passed in October 1997.
Where did Joseph Warren work before Warren Capital Management?
Before Warren Capital Management, Joseph Warren was registered through Morgan Stanley, February 1999 to March 2005.
Is Joseph Warren registered with FINRA?
No. Joseph Warren has no current broker registration.
How can I verify Joseph Warren’s record?
Search CRD 2957268 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Warren’s full registration record.