KS
Kurt R. Schroeder
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CRD#: 5429084
KS
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.
Kurt Richard Schroeder was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 2007. Kurt had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
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.
1. H&R Block. Non-investment-related. 5302 DTC Blvd, Greenwood Village, CO 80111. Taxes. Tax Associate. Start 12/1999. 20hrs/mo. 10hrs/mo/TH. Tax Preparation. 2. AspenMark Wealth Management. Investment-related. 6901 S. Yosemite St, Centennial, CO 80112. Financial Services. Insurance Producer. Start 10/2014. 80hrs/mo. 80hrs/mo/TH. Life Insurance Production. 3. EPICPRO FINANCIAL MANAGEMENT POSITION: Life Insurance Producer NATURE: Life insurance production and fixed annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2020 ADDRESS: 100 Parnell St, Suite G, Merritt Island FL 32953, United States DESCRIPTION: Life insurance production and recruitment of life insurance producers. 4. INTERNATIONAL ASSOCIATION OF REGISTERED FINANCIAL CONSULTANTS POSITION: Region Director NATURE: Nonprofit association for financial consultants who maintain high ethical standards. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2021 ADDRESS: 146 North Breiel Blvd, Middletown OH 45042, United States DESCRIPTION: Educate financial professionals related to membership in the IARFC. Increase membership of the association.The IARFC currently has an initiative to increase membership. I will be an independent contractor for Region 8, which will include CO, TX, NM, KS, OK. I will be contacting financial professionals and providing them with information/education about our association and why it might benefit them to become a member of our association. The goal is to increase membership in the International Association of Registered Financial Consultants, www.iarfc.org . I will be compensated for bringing new members into the association, where I am currently a member and hold the designation RFC (Registered Financial Consultant). REGISTERED NURSE, Is Not Investment Related, "Registered Nurse, Case Management", Registered Nurse, 2022-07-15, 40 hours per month, 12 hours per month during trading hours, Hourly Compensation," Registered Nurse, Case Management" HEALTHONE BEHAVIORAL HEALTH AND WELLNESS CENTER Is Not Investment Related, Behavioral Health and Wellness, Registered Nurse, 2023-01-14, 144 hours per month, 4 hours per month during trading hours, Hourly Compensation, Behavioral health and wellness nurse caring for patients on an inpatient health and wellness unit.
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®
NoneExperience
Past
January 7, 2020 - May 19, 2023
GWN SECURITIES INC.
BD
CRD#: 128929
CENTENNIAL, CO
Past
January 6, 2020 - May 19, 2023
GWN SECURITIES INC.
RIA
CRD#: 128929
CENTENNIAL, CO
Past
April 26, 2018 - June 27, 2018
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Centennial, CO
Past
June 21, 2017 - June 27, 2018
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Centennial, CO
Past
October 3, 2014 - June 21, 2017
CCF INVESTMENTS, INC.
BD
CRD#: 136571
Centennial, CO
Past
August 26, 2014 - September 4, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
COLORADO SPRINGS, CO
Past
October 12, 2007 - March 12, 2008
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
GREENWOOD VILLAGE, CO
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
