Gregg C. Kleinman

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY

Fort Lauderdale, FL 33301

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CRD#: 4773338

Professional summary

Gregg Corey Kleinman, CFP®, who also goes by Gregg Corey Kleinman, is a registered financial advisor currently at GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC. located in Fort Lauderdale, Florida and MADISON AVENUE SECURITIES, LLC located in Fort Lauderdale, Florida.

Gregg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gregg has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregg Corey Kleinman

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.

NAME: GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY; INV RELATED:YES; ADDRESS:1301 E. BROWARD BLVD SUITE 200, FORT LAUDERDALE, FL 33301; NATURE: RIA FIRM; POSITION:INVESTMENT ADVISOR REPRESENTATIVE; START DATE:05/2015; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:FINANCIAL ADVISOR NAME: GLOBAL WEALTH RETIREMENT PLANNING, LLC; INV RELATED:YES; ADDRESS:1301 E. BROWARD BLVD SUITE 200, FORT LAUDERDALE, FL 33301; NATURE: INSURANCE AGENCY-LIFE/HEALTH/ANNUITIES; POSITION:FINANCIAL ADVISOR; START DATE:5/2015; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:WEALTH ADVISOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Corey Kleinman's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

August 17, 2022 - Present

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

Office #1: 1301 East Broward Blvd Suite 200, Fort Lauderdale, FL 33301

RIA

CRD#: 286005

Fort Lauderdale, FL

Current

January 4, 2025 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 1301 E. Broward Blvd Suite 200, Fort Lauderdale, FL 33301

RIA

CRD#: 23224

FORT LAUDERDALE, FL

Past

April 26, 2022 - December 8, 2023

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Fort Lauderdale, FL

Past

June 1, 2009 - June 7, 2021

MORGAN STANLEY

RIA

CRD#: 149777

BOCA RATON, FL

Past

June 1, 2009 - June 7, 2021

MORGAN STANLEY

CRD#: 149777

BOCA RATON, FL

Past

February 6, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOCA RATON, FL

Past

December 18, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOCA RATON, FL

Past

June 8, 2004 - August 30, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/4/2025)

IAR

Florida
(8/17/2022)

Florida
(1/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/16/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/14/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/27/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/7/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

SEC notice filing (16 States and Territories)

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 Accounts	3,062
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.

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Firm Stability Insights

Gregg C. Kleinman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Corey Kleinman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

OPPENHEIMER & CO. INC.

Primary Firm SEC Registration

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2007

Series 63

Date: 6/14/2004

SIE

Date: 10/1/2018

Series 31

Date: 3/27/2010

Series 7

Date: 6/7/2004

FINRA

Current Firm

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

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