James Warring: EagleStone Wealth Advisor Faces $4.5mm Complaint

A recent investor complaint against Rockville, Maryland financial advisor James Warring (CRD# 3198200) alleges that his conduct resulted in damages of more than $4 million. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with DAI Securities and an investment advisor with EagleStone Wealth Advisors.

Mr. Warring’s BrokerCheck report discloses one investor complaint. Filed in March 2023, it alleges that as a representative of EagleStone Wealth Advisors, he engaged in conduct or aided and abutted conduct constituting fraud, breached his fiduciary duty, violated the Maryland SAFE Act, and violated the Maryland Securities Act between 2010 and 2022. The pending complaint alleges damages of $4.5 million.

According to the Financial Industry Regulatory Authority, James Warring holds 24 years of securities industry experience. Based in Rockville, Maryland, he has been registered as a broker with DAI Securities since 2020 and an investment advisor with EagleStone Wealth Advisors since 2012. His registration history includes Triad Advisors (Rockville, Maryland; 2009-2020), H. Beck (Rockville, Maryland; 2005-2009), R&M Wealth Management Services (Bethesda, Maryland; 2000-2007), 1st Global Advisors (Bethesda, Maryland and Dallas, Texas; 1999-2005), and United Planners’ Financial Services of America (Scottsdale, Arizona; 1999). His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Colorado, Delaware, the District of Columbia, Florida, Indiana, Kansas, Kentucky, Maryland, Massachusetts, New York, North Carolina, Pennsylvania, South Carolina, Virginia, and Washington. (Information current as of April 22, 2023.)

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