Career records & work history
License Records
Tom Hillary Warren
Address:
4808 E Mineral Cir, Centennial, CO 80122
Licenses:
License #: A2003911
Category: Airmen
Category: Airmen
Tom H Warren, 63Grand Lake, CO
Tom Warren Phones & Addresses
Grand Lake, CO
Centennial, CO
11404 Jordan Ln, Great Falls, VA 22066
Greenwood Village, CO
Huntington Beach, CA
Burbank, CA
Golden, CO
Los Angeles, CA
Santa Barbara, CA
4160 E Linden Cir, Greenwood Village, CO 80121
Work
Company:
Clinical diagnostics division
Address:
4300 N Harbor Blvd # A37C, Fullerton, CA 92835
Phones:
714-8714848
Position:
Manager
Industries:
Surgical and Medical Instruments and Apparatus
Education
Degree:
Associate degree or higher
Emails
Mentions for Tom H Warren
Publications & IP owners
Us Patents
System And Method For Facilitating Unified Trading And Control For A Sponsoring Organization's Money Management Process
US Patent:
7685057, Mar 23, 2010
Filed:
Apr 11, 2007
Appl. No.:
11/783690
Inventors:
Allan T. Chiulli - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.
System And Method For Assigning Responsibility For Trade Order Execution
US Patent:
7809632, Oct 5, 2010
Filed:
Oct 22, 2008
Appl. No.:
12/256196
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).
System And Method For Optimizing The Broker Selection Process To Minimize Total Execution Cost Of Securities Trades
US Patent:
7831503, Nov 9, 2010
Filed:
Jun 16, 2008
Appl. No.:
12/140047
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system and method for minimizing the total expected execution cost of securities trades through a real-time analysis and optimization process incorporating: (1) the currently offered share price and liquidity in the securities markets; (2) execution costs as input in real-time by executing brokers; (3) expected price improvement based on current and recent trading data; (4) time required to execute an order by an executing broker; and (5) the current rate of change in the share price of a security during the time required to execute the transaction. Based on these factors, the invention ranks, in dollars and cents per shares, brokers from lowest to highest expected total execution cost. The initiating party to the securities transaction can route the order(s) to the executing brokers with the lowest expected total execution costs to minimize the total execution cost.
System And Method For Assigning Responsibility For Trade Order Execution
US Patent:
7856396, Dec 21, 2010
Filed:
Aug 3, 2010
Appl. No.:
12/849032
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).
System And Method For Facilitating Unified Trading And Control For A Sponsoring Organization's Money Management Process
US Patent:
7912783, Mar 22, 2011
Filed:
Feb 4, 2010
Appl. No.:
12/700218
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.
System And Method For Exchanging Institutional Research And Trade Order Execution Services
US Patent:
8078522, Dec 13, 2011
Filed:
Mar 6, 2008
Appl. No.:
12/043687
Inventors:
Allan T. Chiulli - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Engelwood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 35
Abstract:
An embodiment of the present invention provides a system and method for creating an electronic marketplace, utilizing an electronic non-currency unit of exchange, that provides for and facilitates the cost effective exchange of institutional research and trade order execution services between asset management firms and executing brokers in such manner as to substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in mutual funds and other investment portfolios.
System And Method For Assigning Responsibility For Trade Order Execution
US Patent:
8121935, Feb 21, 2012
Filed:
Nov 3, 2010
Appl. No.:
12/938694
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).
System And Method For Facilitating Unified Trading And Control For A Sponsoring Organization's Money Management Process
US Patent:
8180699, May 15, 2012
Filed:
Feb 3, 2011
Appl. No.:
13/020121
Inventors:
Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US
Assignee:
UAT, Inc. - Englewood CO
International Classification:
G06Q 40/00
US Classification:
705 37, 705 38
Abstract:
An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.
Isbn (Books And Publications)
Beating Alzheimer'S: A Step Towards Unlocking The Mysteries Of Brain Diseases
Author:
Tom Warren
ISBN #:
0895294885
Public records
Vehicle Records
Tom Warren
Address:
7264 S Kellerman Way, Aurora, CO 80016
Phone:
303-5269762
VIN:
5NPEU46F97H253358
Make:
HYUNDAI
Model:
SONATA
Year:
2007
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