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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

FREDERICK RICHARD WARREN

Advisor at EQUITABLE ADVISORS, LLC

WICHITA, KS

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Search this name across graphsid dfx:ria:c3b84a48-83a3-a7cb-5225-ddb5babd59af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EQUITABLE ADVISORS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 6, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 7, 2002
First registration: Nov 6, 2001
Dual registered: yes, broker-dealer
Other names: FRED WARREN|FRED WARREN
IAPD individual key: 1014053

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EQUITABLE ADVISORS, LLC	National bd RIA	Aug 20, 2026	n/a	yes	WICHITA, KS	Current employment
STIFEL INDEPENDENT ADVISORS, LLC	Bd affiliated wealth	Mar 19, 2007	Aug 20, 2026	no	WICHITA, KS\|WICHITA, KS	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 25, 2006	Mar 26, 2007	no	HUTCHINSON, KS\|HUTCHINSON, KS	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Nov 6, 2001	Jul 9, 2002	no	WICHITA, KS	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STIFEL INDEPENDENT ADVISORS, LLC	EQUITABLE ADVISORS, LLC	Aug 20, 2026	Aug 20, 2026	0	Bulk transfer	Ibd to ibd
OPPENHEIMER & CO. INC.	STIFEL INDEPENDENT ADVISORS, LLC	Mar 26, 2007	Mar 19, 2007	-7	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	OPPENHEIMER & CO. INC.	Jul 9, 2002	Jan 25, 2006	1,296	Firm change after gap	Other

Relationships

Registered with (4)

→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: current employment
Aug 20, 2026 to presentfactForm ADV
→ STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 19, 2007 to Aug 20, 2026factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 25, 2006 to Mar 26, 2007factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Nov 6, 2001 to Jul 9, 2002factForm ADV

Dated events

No dated event names this entity yet.