Carol L. Foster

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CRD#: 1007263

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carol Lee Foster, CFP®, who also goes by Carol Lee Boice, Carol Otto Boice, Carol Lee Otto, Carol Lee Weeks, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 1981. Carol had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol Lee Boice | Carol Otto Boice | Carol Lee Otto | Carol Lee Weeks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Independent Insurance Agent; Yes; 10019 S Deer Creek ST, Highlands Ranch, CO 80129; Fixed Insurance; Independent Insurance Agent; 09/21/2015; 160/160; Sale of fixed insurance products.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

January 26, 2018 - December 31, 2024

GWN SECURITIES INC.

RIA

CRD#: 128929

HIGHLANDS RANCH, CO

Past

January 26, 2018 - December 31, 2024

GWN SECURITIES INC.

CRD#: 128929

HIGHLANDS RANCH, CO

Past

January 3, 2011 - December 31, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HIGHLANDS RANCH, CO

Past

January 3, 2011 - December 31, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HIGHLANDS RANCH, CO

Past

September 2, 2009 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

HIGHLANDS RANCH, CO

Past

September 2, 2009 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

HIGHLANDS RANCH, CO

Past

January 9, 2007 - September 4, 2009

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

HIGHLANDS RANCH, CO

Past

December 1, 2006 - September 4, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

HIGHLANDS RANCH, CO

Past

January 20, 2006 - June 16, 2006

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

HIGHLANDS RANCH, CO

Past

October 18, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

HIGHLANDS RANCH, CO

Past

July 1, 2003 - October 17, 2005

STUART SECURITIES CORP.

CRD#: 47076

NORCROSS, GA

Past

August 12, 1999 - June 30, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 4, 1988 - September 28, 1989

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

October 21, 1986 - December 21, 1987

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

Past

February 10, 1986 - August 4, 1986

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

October 18, 1984 - February 11, 1986

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

Past

October 31, 1981 - September 21, 1984

CITISTREET EQUITIES LLC

CRD#: 7447

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GWN SECURITIES INC.

GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.

CRD#: 128929 / SEC#: 801-62547, 8-66185

RIA

Registered Investment Advisory firm - SEC (1/2/2004 Approved)

Wyoming

Registered Investment Advisory firm - SEC (6/30/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/29/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/6/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/13/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1999

General Securities Principal Examination

Current Firm

GWN SECURITIES INC.

GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.

CRD#: 128929 / SEC#: 801-62547, 8-66185

RIA

Registered Investment Advisory firm - SEC (1/2/2004 Approved)

Wyoming

Registered Investment Advisory firm - SEC (6/30/2020 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

Mailing Address

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

Phone number

(561) 472-2700

Established

Florida since 05/12/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

744

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/11/2025)

Direct owners and executive officers

Name	Position	CRD#
WORLD INVESTMENT NETWORK	OWNER
BORNHEIMER, LAURA JEANETTE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP	1769643
CORBIN, BRAD JEFFREY	SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING	1754065
RITTMAN, BARRY RICHARD	CFO FINOP VP	1997994
WALSH, DENIS STEPHEN	CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT	1124278
WALSH, MARY THERESE	SECRETARY	2829444

Regulatory assets under management

Total Number of Accounts	64,207
AUM (Assets Under Management)	$ 3,650,274,405

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carol L. Foster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GWN SECURITIES INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

STUART SECURITIES CORP.

VOYA FINANCIAL ADVISORS, INC.

INVESCO DISTRIBUTORS, INC.

INVESTORS BROKERAGE SERVICES, INC.

PAMCO SECURITIES AND INSURANCE SERVICES

CONSOLIDATED INVESTMENT SERVICES, INC.

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/2004

Series 65

Date: 5/6/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1999

Series 6

Date: 10/13/1981

Series 24

Date: 10/12/1999

Current Firm

GWN SECURITIES INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GWN SECURITIES INC.

TRUST BUT VERIFY

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