LS
Leonard S. Smoot
GWN SECURITIES
CINCINNATI, OH
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CRD#: 1641684
LS
Professional summary
Leonard Stanley Smoot is a registered financial advisor currently at GWN SECURITIES INC. located in Cincinnati, Ohio.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Leonard has worked at 9 firms and has passed the SIE 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.
MIDWEST ANNUITY & INVESTMENT COMPANY; 26250 EUCLID AVENUE, EUCLID, OH; START 1/1987;INSURANCE/ANNUITY SALES NATINAL/NY LTC BROKIERS POSITION: sales representative NATURE: selling LTC to retired customers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/23/2016 ADDRESS: 11 Executive Park Drive, Clifton Park NY 12065 DESCRIPTION: selling LTC to retired customers YOUSSEF FINANCIAL SERVICES POSITION: sales rep NATURE: Selling life insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 02/23/2018 ADDRESS: 5748 Park Center Court, Toledo OH 43615, United States DESCRIPTION: Sellinglife insurancefor working and retired clients and their families through the above mentioned IMO that is linked to Voya.
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Stanley Smoot's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leonard Stanley Smoot'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 7, 2008 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
CINCINNATI, OH
Current
April 4, 2008 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 26250 Euclid Avenue #619, Euclid, OH 44132Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
January 18, 2007 - March 14, 2008
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
CINCINNATI, OH
Past
January 17, 2007 - March 14, 2008
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CINCINNATI, OH
Past
December 4, 2006 - January 11, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
October 24, 2003 - December 4, 2006
STUART SECURITIES CORP.
BD
CRD#: 47076
NORCROSS, GA
Past
January 2, 2002 - November 20, 2003
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
EUCLID, OH
Past
March 12, 2001 - November 20, 2003
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
July 2, 1999 - March 6, 2001
DONAHUE SECURITIES, INC.
BD
CRD#: 24330
CINCINNATI, OH
Past
October 27, 1992 - July 28, 1999
MW MANAGEMENT COMPANY
BD
CRD#: 30014
EUCLID, OH
Past
January 9, 1989 - July 21, 1992
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
June 3, 1987 - June 23, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
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
Ohio(4/4/2008)
IAR
Ohio(4/7/2008)
Exams
General Industry/Product Exam
General Industry/Product 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.
