WM
Walter L. Mcbay
GWN SECURITIES
Palm Beach Gardens, FL 33418
Some features on this profile are disabled
CRD#: 1714999
WM
Professional summary
Walter Leo Mcbay JR, who also goes by Walter Leo Mcbay, is a registered financial professional currently at GWN SECURITIES INC. located in Palm Beach Gardens, Florida.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1987. Walter has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Walter Leo Mcbay
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Walter Leo Mcbay JR'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
January 26, 2004 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
April 22, 1996 - December 31, 2003
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
July 27, 1993 - April 2, 1996
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
February 6, 1990 - October 6, 1995
LEGEND INVESTMENT MANAGEMENT INC.
BD
CRD#: 14454
PALM BEACH GARDENS, FL
Past
October 21, 1987 - December 31, 1993
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past
April 11, 1987 - December 31, 2003
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
WEST PALM BEACH, FL
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.
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(4/5/2004)
RR
Arkansas(7/12/2004)
RR
California(1/26/2004)
RR
Colorado(5/28/2015)
RR
Connecticut(1/23/2018)
RR
Florida(1/26/2004)
RR
Georgia(1/26/2004)
RR
Hawaii(2/15/2007)
RR
Indiana(1/7/2005)
RR
Iowa(1/26/2004)
RR
Kansas(7/12/2004)
RR
Kentucky(7/12/2004)
RR
Louisiana(12/13/2019)
RR
Massachusetts(7/15/2004)
RR
Michigan(1/29/2004)
RR
Mississippi(7/15/2004)
RR
Missouri(5/28/2015)
RR
Montana(11/6/2007)
RR
New Jersey(2/3/2004)
RR
New Mexico(10/2/2007)
RR
New York(1/26/2004)
RR
North Carolina(1/27/2004)
RR
North Dakota(8/16/2004)
RR
Ohio(2/25/2004)
RR
Oklahoma(8/13/2004)
RR
Oregon(8/11/2004)
RR
Pennsylvania(1/26/2004)
RR
Rhode Island(7/12/2004)
RR
South Carolina(1/26/2004)
RR
South Dakota(1/26/2004)
RR
Texas(12/9/2004)
RR
Utah(4/28/2008)
RR
Vermont(6/3/2005)
RR
Virginia(1/26/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
