Malcolm R. Warneford-thomson
CL WEALTH MANAGEMENT LLC
Richmond, VA 23230
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CRD#: 4802657
Professional summary
Malcolm Robert Warneford-thomson, CFP®, who also goes by Malcom Robert Warneford-thomson, Malcom Warneford-thomson, is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Richmond, Virginia and CABOT LODGE SECURITIES LLC located in Richmond, Virginia.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Malcolm has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Malcom Robert Warneford-Thomson | Malcom Warneford-Thomson
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.
1) WARNEFORD WEALTH MANAGEMENT LLC, INVESTMENT-RELATED, RICHMOND, VA, ONE MEMBER LLC REGISTERED IN VA, PRESIDENT, 1-2014; 150 HOURS PER MONTH, 6 HOURS PER MONTH DURING SECURITIES TRADING HOURS. INVESTMENT MANAGEMENT, FINANCIAL PLANNING, MARKETING AND ADMINISTRATION, MEETING PROSPECTIVE CLIENTS. 2) Malcolm Warneford-Thomson--Fixed Insurance, not investment related; vehicle for offering fixed insurance products, Richmond, VA, Certified Financial Planner, 5/4/2021, 10 hours per month, 10 hours during trading hours, Meet with clients. Formulate plan. Research insurance markets as appropriate. Deliver plan to client with fixed Insurance solution. Complete documentation and submit to carrier via Ashe Brokerage.
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Robert Warneford-thomson'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®
CFP®
Start date: 2014
Experience
Current
January 2, 2013 - Present
CL WEALTH MANAGEMENT LLC
Office #1: 6802 Paragon Place Suite 126, Richmond, VA 23230RIA
CRD#: 134922
Richmond, VA
Current
June 25, 2013 - Present
CABOT LODGE SECURITIES LLC
Office #1: 6802 Paragon Place Suite 410, Richmond, VA 23230BD
CRD#: 159712
Richmond, VA
Past
January 2, 2013 - July 15, 2013
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
RICHMOND, VA
Past
August 7, 2009 - January 3, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
CRD#: 14169
GLEN ALLEN, VA
Past
August 7, 2009 - January 3, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
April 4, 2005 - August 14, 2009
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
RICHMOND, VA
Past
August 27, 2004 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
RIA
CRD#: 108827
RICHMOND, VA
Past
August 13, 2004 - August 14, 2009
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)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
California(11/10/2023)
RR
Florida(1/17/2019)
IAR
Florida(3/11/2021)
RR
Maine(11/10/2023)
RR
Maryland(6/25/2013)
IAR
Maryland(7/26/2019)
IAR
Virginia(1/2/2013)
RR
Virginia(6/26/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CL WEALTH MANAGEMENT LLC
CRD#: 134922Richmond, VA 23230TRUST BUT VERIFY
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