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LW

Lisa M. Winward

Some features on this profile are disabled
CRD#: 4663599
LW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lisa Marie Winward was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 2003. Lisa had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2019 - February 5, 2020

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

RIA
CRD#: 286005
FORT LAUDERDALE, FL
Past

May 22, 2019 - January 7, 2020

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
Fort Lauderdale, FL
Past

August 22, 2016 - May 3, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CORAL SPRINGS, FL
Past

August 16, 2016 - May 3, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CORAL SPRINGS, FL
Past

February 20, 2015 - February 29, 2016

CAMPBELL WEALTH MANAGEMENT, INC.

RIA
CRD#: 152956
ALEXANDRIA, VA
Past

May 27, 2013 - February 9, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
ALEXANDRIA, VA
Past

August 16, 2011 - May 3, 2013

IFOCUS FINANCIAL, LLC

RIA
CRD#: 154029
FALLS CHURCH, VA
Past

January 13, 2010 - July 19, 2011

SPC

RIA
CRD#: 110692
FAIRFAX, VA
Past

November 2, 2009 - July 19, 2011

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
FAIRFAX, VA
Past

August 8, 2003 - November 5, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MIDVALE, UT
Past

July 31, 2003 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 31, 2003 - November 5, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MIDVALE, UT

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".
GW
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.
GLOBAL WEALTH MANAGEMENT ADVISORY, LLC | GLOBAL WEALTH MANAGEMENT, LLC | GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

CRD#: 286005 / SEC#: 801-110227

RIA
Registered Investment Advisory firm - (4/10/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/7/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2003
General Securities Representative Examination

Current Firm

GW
GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.
GLOBAL WEALTH MANAGEMENT ADVISORY, LLC | GLOBAL WEALTH MANAGEMENT, LLC | GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

CRD#: 286005 / SEC#: 801-110227

RIA
Registered Investment Advisory firm - (4/10/2017 Approved)
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Contact information

Main Address
1301 East Broward Blvd Suite 200, Fort Lauderdale, FL 33301
Mailing Address
Phone number
(866) 405-1031
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GWMIA ADV PART 2A - FIRM BROCHURE (4/29/2025)
GWMIA ADV PART 2A APPENDIX 1 - WRAP FEE BROCHURE (4/29/2025)

Regulatory assets under management

Total Number of Accounts3,062
AUM (Assets Under Management)$ 529,098,628

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

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

CRD#: 286005

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