LS
Leonard M. Spalding
GWN SECURITIES
PORT CHARLOTTE, FL
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CRD#: 3047263
LS
Professional summary
Leonard Marion Spalding III, who also goes by Leonard Marion Spalding, is a registered financial advisor currently at GWN SECURITIES INC. located in Port Charlotte, Florida.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Leonard has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leonard Marion Spalding
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.
Life & Health, Annuities POSITION: Agent NATURE: Insurance & Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: One Sammons Plaza, Sioux Falls, SD 57193 DESCRIPTION: Meet with prospects, discuss insurance needs, understand products, delivering contracts, servicing clients, ongoing continuing education GLOBAL FINANCIAL ASSOCIATES, INC INVESTMENT RELATED: Is Investment Related, ADDRESS; "19315 Water Oak Drive, Unit 202, Port Charlotte, FL, 33948, United States" NATURE: DBA, POSITION: Financial Professional, START DATE: 2019-01-30, HOURS PER MONTH: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation, DESCRIPTION: DBA related in Investment sales
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Marion Spalding III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leonard Marion Spalding III'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 30, 2019 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
PORT CHARLOTTE, FL
Current
April 29, 2019 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
August 4, 2017 - May 2, 2019
LINCOLN INVESTMENT
RIA
CRD#: 519
Coconut Creek, FL
Past
January 3, 2017 - May 2, 2019
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Past
May 23, 2011 - May 2, 2019
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
Coconut Creek, FL
Past
January 27, 2003 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 8, 1998 - December 13, 2002
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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
Arizona(4/29/2019)
RR
California(5/17/2022)
RR
Colorado(8/13/2019)
RR
Florida(4/29/2019)
IAR
Florida(4/30/2019)
RR
Maryland(9/29/2023)
RR
North Carolina(5/17/2022)
RR
Ohio(8/7/2025)
RR
South Carolina(11/21/2024)
RR
Tennessee(9/11/2023)
RR
Virginia(4/30/2019)
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
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.
