SW
Sanford L. Warmund
GWN SECURITIES
Kansas City, MO 64102
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CRD#: 1460392
SW
Professional summary
Sanford Leigh Warmund, who also goes by Sandy Warmund, is a registered financial advisor currently at GWN SECURITIES INC. located in Kansas City, Missouri.
Sanford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Sanford has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandy Warmund
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.
RELIANT FINANCIAL
1600 GENESEE ST. STE. 900, KANSAS CITY, MO 64102 INVESTMENTS, EXECUTIVE VP, 12/94-PRESENT 120HRS. I AM A 49% OWNER OF RELIANT FINANCIAL SERVICES, A FINANCIAL SERVICES MARKETING COMPANY.
INSURANCE/AGENT-ACCIDENT & HEALTH
LIFE INSURANCE
POSITION: SALES REPRESENTATIVE NATURE: LIFE INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 07/01/2012
ADDRESS: 1600 GENESSEE, SUITE 961, KANSAS CITY MO 64102
DESCRIPTION: OCCASSIONALLY HAVE INDIVIDUALS WHO NEED LIFE INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view Sanford Leigh Warmund's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sanford Leigh Warmund'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®
NoneExperience
Current
April 1, 2010 - Present
GWN SECURITIES INC.
Office #1: 1600 Genessee #961, Kansas City, MO 64102RIA
BD
CRD#: 128929
Kansas City, MO
Current
April 1, 2010 - Present
GWN SECURITIES INC.
Office #1: 1600 Genessee #961, Kansas City, MO 64102RIA
BD
CRD#: 128929
Kansas City, MO
Past
October 11, 1995 - April 6, 2010
LINCOLN INVESTMENT
RIA
CRD#: 519
KANSAS CITY, MO
Past
February 19, 1995 - April 6, 2010
LINCOLN INVESTMENT
BD
CRD#: 519
KANSAS CITY, MO
Past
July 2, 1991 - January 4, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 2, 1991 - January 4, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 23, 1989 - December 18, 1990
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
February 11, 1986 - September 21, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
GS
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)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
Colorado(9/4/2020)
RR
Iowa(6/28/2017)
RR
Kansas(4/1/2010)
RR
Missouri(4/1/2010)
IAR
Missouri(4/1/2010)
RR
Nevada(6/28/2017)
RR
New Mexico(7/24/2024)
RR
North Carolina(3/29/2022)
RR
Ohio(9/15/2016)
RR
Utah(7/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
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)BD
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)
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 | 2 |
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.
Company Information
GWN SECURITIES INC.
CRD#: 128929Kansas City, MO 64102TRUST BUT VERIFY
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Contact information
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