WARNER GROUP LLC
Legal name: WARNER WEALTH
CRD #334877 SEC #801-132255 MADISON, CT 203-929-2727
SEC Registered
Total AUM
$362.8M
Discretionary
$362.8M
Employees
17
Clients
0
Accounts
1,111
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 1, 2025
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAYZE, ASHLEIGH, COOPER | I | CHIEF COMPLIANCE OFFICER | NA | |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
| WARNER, JAMES, ALAN | I | OWNER | E | Control |
Registrations
Federal
IA
Dec 1, 2025 REGISTERED
Notice Filings (13)
CA CT FL MA ME NC NH NJ NY PA RI SC TX
Address
869 BOSTON POST ROADMADISON, CT 06443
United States
Phone: 203-929-2727