Warren Raum is a CFP-designated registered investment advisor, based in Woodbury, NY, with 44 years of industry experience.
Location
125 Froehlich Farm Blvd., Woodbury, NY, 11797
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Regulatory History (2)
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Customer Dispute
March 1992Settled
Criminal
May 1979Final Disposition
Other Business Activities
Warren is involved in various business activities, including real estate, management consulting, writing/design, contract work, and non-profit/charity work. He spends minimal time on each of these activities.
Employment History
Current Registrations
Vanderbilt Securities, LLC
May 2025 - Present · 1 yr 2 mos
Vanderbilt Advisory Services
May 2025 - Present · 1 yr 2 mos
Vanderbilt Securities, LLCBroker
May 2025 - Present · 1 yr 2 mos
Previous Registrations
J.P. Morgan Securities LLC
October 2021 - May 2025 · 3 yrs 7 mos
J.P. Morgan Securities LLCBroker
May 2010 - May 2025 · 15 yrs
UBS Financial Services INC.
September 2007 - June 2010 · 2 yrs 9 mos
UBS Financial Services INC.Broker
December 1981 - June 2010 · 28 yrs 6 mos
State Registrations5 states
CACOCTNJNY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.