Unclaimed Profile

John Joseph O'toole

WARREN FINANCIAL SERVICE & ASSOCIATES, INC.·EXTON, Pennsylvania

Series 3, Series 7, Series 31, Series 63, Series 65Clean record27 years registeredWARREN FINANCIAL SERVICE & ASSOCIATES, INC.

7 DOWLIN FORGE RD, EXTON, PA 19341CRD# 1811307Firm CRD# 119066

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Joseph O'toole · EXTON, PA

Registration

CRD #1811307 · WARREN FINANCIAL SERVICE & ASSOCIATES, INC. · 27 years registered

Brand Profile

Not yet started

Career History

EP WEALTH ADVISORS

Dec 2022 – present

WARREN FINANCIAL SERVICE

Nov 2014 – Dec 2022

HILTON HEAD, SC

RBC CAPITAL MARKETS, LLC

Feb 2009 – Feb 2013

CHICAGO, IL

CITIGROUP GLOBAL MARKETS INC.

Jan 1999 – Mar 2009

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

Series 3

Series 7

Series 31

Series 63

Series 65

Registration record

First registered · January 29, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WARREN FINANCIAL SERVICE & ASSOCIATES, INC.

CRD 119066 · SEC 802-127869

AUM

$366M

Regulatory assets under management

Services offered by WARREN FINANCIAL SERVICE & ASSOCIATES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at WARREN FINANCIAL SERVICE & ASSOCIATES, INC. →

Introduction

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Frequently Asked Questions

What services does John Joseph O'toole offer?

John Joseph O'toole specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in EXTON, Pennsylvania for a consultation.

What are John Joseph O'toole's credentials?

John Joseph O'toole is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Joseph O'toole located?

John Joseph O'toole is based in EXTON, Pennsylvania, working with WARREN FINANCIAL SERVICE & ASSOCIATES, INC.. Their office serves clients in the EXTON metropolitan area and surrounding communities.

How does John Joseph O'toole charge for services?

John Joseph O'toole's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WARREN FINANCIAL SERVICE & ASSOCIATES, INC.?

WARREN FINANCIAL SERVICE & ASSOCIATES, INC. is a registered investment adviser with the SEC, managing $366M in regulatory assets under management. See their Form ADV for full details.

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