LW
Lee W. Warner
THE L. WARNER COMPANIES,
Timonium, MD 21093
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CRD#: 1008889
LW
Professional summary
Lee William Warner, CFP® is a registered financial advisor currently at THE L. WARNER COMPANIES, INC located in Timonium, Maryland and M HOLDINGS SECURITIES, INC. located in Timonium, Maryland.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Lee has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Maxum Solutions, LLC; 2002; Member; Serve on Board of Directors for software company; Not Investment Related; 1 hour/month; 0 hours/month during business hours; No Compensation. 2) College & University Employee Benefits Solutions, LLC (CUEBS); 9690 Deereco Road, Suite 650, Timonium, MD 21093; 2013; Managing Member; Marketing & Administration; Not Investment Related; 2 hours/month; 0 hours/month during business hours; Profits, Commissions. 4) The L. Warner Companies, Inc.; 9690 Deereco Road, Suite 650, Timonium, MD 21093; 01/2007; CEO & Chairman; Member Firm Activities related to Investments and Insurance; Investment Related; 200 hours/month; 200 hours/month during business hours; Wages/Salary/Tips. 5) Carson Scholars Fund, Inc.; 305 West Chesapeake Avenue, Suite 310, Towson, MD 21204; 2011; Chairman of The Board; Sit on Executive & Finance Committees, assist with fundraising, oversight of fund assets and overall strategy; Investment Related; 10 hours/month; 1 hour/month during business hours; No Compensation. 9) Warner Sports Management, LLC; 9690 Deereco Road, Suite 650, Timonium, MD 21093; 05/2021; Managing Member; Owner of a baseball agency management firm; Not Investment Related; 0 hours/month; 0 hours/month during business hours; Profits. 10) Mont Re Revocable Trust DTD 05/20/2019; 05/20/2019; Trustee; Serve as trustee for client assets; Investment Related; 0 hours/month; 0 hours/month during business hours; No Compensation. 11) Michael O'Boyle Family Trust DTD 04/01/2002; 04/01/2002; Co-Trustee; Duties related to being a trustee; Investment Related; 0 hours/month; 0 hours/month during business hours; No Compensation. 12) Stone Lily Trust; 24016 Burnt Hill Road, Clarksburg, MD 20871; Trustee; Trust to own house, normal trustee duties; Not Investment Related; 1 hour/month; 0 hours/month during business hours; No Compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Lee William Warner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 26, 2004 - Present
THE L. WARNER COMPANIES, INC
Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093Office #2: 9690 Deereco Road Suite 650, Timonium, MD 21093RIA
CRD#: 108001
Timonium, MD
Current
December 20, 2006 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093RIA
BD
CRD#: 43285
Timonium, MD
Past
June 2, 1992 - December 31, 2006
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
TIMONIUM, MD
Past
January 21, 1986 - October 19, 1992
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
June 27, 1984 - December 23, 1985
BOARDWALK CAPITAL CORPORATION
BD
CRD#: 10279
Past
March 23, 1983 - December 31, 1998
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
September 25, 1981 - July 16, 1984
CHRIS SECURITIES INC.
BD
CRD#: 4453
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".
TL
THE L. WARNER COMPANIES, INC
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
RIA
Registered Investment Advisory firm - (9/25/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/20/2006)
RR
California(12/20/2006)
RR
Colorado(12/20/2006)
RR
Connecticut(11/16/2023)
RR
District of Columbia(12/20/2006)
RR
Florida(12/20/2006)
IAR
Florida(2/21/2020)
RR
Georgia(12/20/2006)
RR
Idaho(12/13/2024)
RR
Illinois(1/23/2007)
RR
Kentucky(2/2/2007)
RR
Louisiana(1/24/2012)
IAR
Maryland(3/26/2004)
RR
Maryland(12/20/2006)
RR
Massachusetts(12/20/2006)
RR
Minnesota(11/14/2008)
RR
New Jersey(12/20/2006)
RR
New Mexico(12/20/2006)
RR
New York(12/20/2006)
RR
North Carolina(12/20/2006)
RR
Ohio(12/20/2006)
RR
Oklahoma(12/20/2006)
RR
Pennsylvania(12/20/2006)
RR
Rhode Island(2/2/2007)
RR
South Carolina(3/20/2009)
RR
Tennessee(1/24/2012)
IAR
Texas(9/23/2014)
RR
Texas(4/30/2024)
RR
Virginia(12/20/2006)
RR
Washington(4/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TL
THE L. WARNER COMPANIES, INC
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
RIA
Registered Investment Advisory firm - (9/25/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9690 Deereco Road Suite 650, Timonium, MD 21093
Mailing Address
Phone number
(410) 252-0808
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 385 |
| AUM (Assets Under Management) | $ 744,609,071 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/18/2025 | ||
| 07/10/2024 | ||
| 10/16/2023 |
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.
