Richard D. Spivey

THE L. WARNER COMPANIES,

Timonium, MD 21093

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CRD#: 1062792

Professional summary

Richard Dean Spivey 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.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 7 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)The L. Warner Companies, Inc. - Timonium, MD; 9690 Deereco Rd STE 650 Timonium MD 21093; 7/28/16; President & Chief Marketing Officer; Marketing, sales, internal management of firm; Invest related - Act as an IAR rep for the firm's independent RIA; 40+ hrs/month - 40+ hrs/business; Also participate in fixed insurance sales and have management responsibilities for the firm; Compensation includes wages, commissions, expense reimbursement and firm profits. 2) TIMONIUM METHODIST CHURCH; 2300 Pot Spring Rd, Timonium, MD 21093; Church; Investment Related; Board Member; Finance Committee; 09/01/2017; 3 hrs/month; 0 hrs/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dean Spivey's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 9, 2016 - Present

THE L. WARNER COMPANIES, INC

Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093

RIA

CRD#: 108001

Timonium, MD

Current

August 16, 2016 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093

RIA

CRD#: 43285

Timonium, MD

Past

February 7, 2014 - August 30, 2016

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

BETHESDA, MD

Past

October 5, 2011 - August 30, 2016

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

BETHESDA, MD

Past

June 19, 2009 - October 10, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

SPARKS, MD

Past

January 3, 2005 - July 17, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HUNT VALLEY, MD

Past

December 8, 2004 - July 17, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HUNT VALLEY, MD

Past

March 26, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

June 16, 2000 - December 17, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 4, 1995 - June 19, 2000

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

October 5, 1982 - October 19, 1995

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

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.

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

Delaware
(8/16/2016)

District of Columbia
(8/16/2016)

Florida
(8/16/2016)

IAR

Maryland
(8/9/2016)

Maryland
(8/16/2016)

North Carolina
(8/16/2016)

Ohio
(8/16/2016)

Pennsylvania
(8/16/2016)

Rhode Island
(11/5/2019)

South Carolina
(8/16/2016)

Virginia
(8/16/2016)

West Virginia
(8/16/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/25/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE L. WARNER COMPANIES, INC

CRD#: 108001 / SEC#: 801-56965

RIA

Registered Investment Advisory firm - (9/25/1999 Approved)

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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

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 A&B (3/28/2025)

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	Cover Page	Report
07/10/2024	Cover Page	Report
10/16/2023	Cover Page	Report

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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Firm Stability Insights

Richard D. Spivey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dean Spivey's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES, INC

M HOLDINGS SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

TRUSTED SECURITIES ADVISORS CORP.

MONY SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

THE L. WARNER COMPANIES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1993

Series 6

Date: 9/15/1982

FINRA

Current Firm

THE L. WARNER COMPANIES, INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE L. WARNER COMPANIES, INC

TRUST BUT VERIFY

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