TL
Toby L. Lewis
GWN SECURITIES
Bardstown, KY 40004
Some features on this profile are disabled
CRD#: 4986962
TL
Professional summary
Toby L Lewis, who also goes by Toby L Lewis Mr., is a registered financial advisor currently at GWN SECURITIES INC. located in Bardstown, Kentucky.
Toby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Toby has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Toby L Lewis Mr.
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.
FIXED INSURANCE AND ANNUITY BUSINESS THOROUGBRED ASSET MANAGEMENT POSITION: Owner NATURE: Financial Advising INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2014 ADDRESS: 8009 Plum Run Rd., Bloomfield KY 40008-7058 DESCRIPTION: I am owner of the company MCDOWELL PARK OFFICE CONDOMINIUM ASSOCIATION, INC. POSITION: Co-owner NATURE: Commercial rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: 809 Morton Ave, Bardstown KY 40004, United States DESCRIPTION: Collecting the rent and various duties LEWIS FINANCIAL PLANNING INC. POSITION: President NATURE: Payroll INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/29/2009 ADDRESS: 8009 Plum Run Rd., Bloomfield KY 40008, United States DESCRIPTION: Corporation created for tax puposes NELSON COUNTY SCHOOLS COMMUNITY SUPPORT INC POSITION: Board NATURE: community support INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/09/2012 ADDRESS: 288 Wildcat lane, bardstown KY 40004, United States DESCRIPTION: Help with ideas to promote the schools to the community and raise money for scholarships for Nelson County Students WATTS GOING UP LLC POSITION: CO-OWNER; NOT INVESTMENT RELATED; 1 HOUR PER MONTH AND 0 DURRING TRADING HOURS; BUSINESS NATURE: BUILDING HOLMES, REMODEL AND FLIP; ADDRESS: 8009 Plum Run Rd., Bloomfield KY 40008 DESCRIPTION: I am a silent partner in buying property/building houses/remodeling and flipping houses. I finance the projects, when the projects are finalized we will sell the property. I will get my initial investment back and then we will split the profits. My buisnes partner is my friend and neighbor Micheal Watts. START DATE: 02/01/2024; COMPENSATION: OTHER
CRS (Client Relationship Summary) - RIA
Click below to view Toby L Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Toby L Lewis'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
August 15, 2014 - Present
GWN SECURITIES INC.
Office #1: 809 Morton Ave. Suite 200, Bardstown, KY 40004Office #2: 2530 Scottsville Road Suite 109, Bowling Green, KY 42104RIA
BD
CRD#: 128929
Bardstown, KY
Current
August 15, 2014 - Present
GWN SECURITIES INC.
Office #1: 809 Morton Ave. Suite 200, Bardstown, KY 40004Office #2: 2530 Scottsville Road Suite 109, Bowling Green, KY 42104RIA
BD
CRD#: 128929
Bardstown, KY
Past
July 11, 2011 - August 15, 2014
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
BLOOMFIELD, KY
Past
November 2, 2010 - August 15, 2014
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
BLOOMFIELD, KY
Past
February 20, 2006 - November 2, 2010
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
LOUISVILLE, KY
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
Florida(11/4/2014)
RR
Indiana(8/15/2014)
RR
Kentucky(8/15/2014)
IAR
Kentucky(8/15/2014)
RR
North Carolina(2/6/2019)
RR
Ohio(8/15/2014)
RR
Texas(4/2/2024)
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.
