CS
Charles T. Stacy
GWN SECURITIES
Pensacola, FL 32502
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CRD#: 4823749
CS
Professional summary
Charles Thomas Stacy, who also goes by Chad Stacy, is a registered financial advisor currently at GWN SECURITIES INC. located in Pensacola, Florida.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Charles has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad Stacy
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.
STACY FINANCIAL GROUP,Is Investment Related,,DBA/Financial Services,Registered Rep,2018-04-13,160 hours per month,160 hours per month during trading hours,Commission Compensation,DBA/FINANCIAL SERVICES "LIFE, HEALTH, ANNUITIES, Medicare?",Is Investment Related,"1 E WASHINGTON ST, STE 600E, PHOENIX?, AZ, 85004, USA",Insurance Sales,agent,2012-05-01,30 hours per month,30 hours per month during trading hours,Commission Compensation,"?Life insurance sales, long-term care insurance sales, variable annuity sales."
CRS (Client Relationship Summary) - RIA
Click below to view Charles Thomas Stacy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Thomas Stacy'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
May 14, 2018 - Present
GWN SECURITIES INC.
Office #1: 251 West Garden Street, Pensacola, FL 32502RIA
BD
CRD#: 128929
Pensacola, FL
Current
April 13, 2018 - Present
GWN SECURITIES INC.
Office #1: 251 West Garden Street, Pensacola, FL 32502RIA
BD
CRD#: 128929
Pensacola, FL
Past
January 6, 2014 - April 13, 2018
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
PENSACOLA, FL
Past
December 3, 2010 - December 31, 2013
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
PENSACOLA, FL
Past
November 24, 2010 - April 13, 2018
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
PENSACOLA, FL
Past
February 4, 2009 - November 30, 2010
EDWARD JONES
RIA
CRD#: 250
PENSACOLA, FL
Past
January 24, 2005 - November 30, 2010
EDWARD JONES
BD
CRD#: 250
PENSACOLA, 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.
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
Alabama(4/13/2018)
RR
California(7/14/2021)
RR
Colorado(9/13/2018)
RR
Florida(4/13/2018)
IAR
Florida(5/14/2018)
RR
Georgia(4/13/2018)
RR
Mississippi(3/19/2020)
RR
North Carolina(1/9/2019)
RR
South Carolina(10/2/2018)
RR
Tennessee(4/13/2018)
RR
Texas(1/3/2021)
RR
Virginia(4/13/2018)
RR
West Virginia(5/5/2020)
Exams
State Security Law Exam
State Security Law 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.
