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Current Employers
Global Wealth Strategies And Associates, Llc

3200 Cherry Creek South Drive Suite 280, Denver, CO 80209 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-09
CO RA APPROVED 2021-10-27
  • TX RA
    APPROVED_RES
    Since 2021-11-09
  • CO RA
    APPROVED
    Since 2021-10-27

Branch Locations

3200 Cherry Creek South Drive Suite 280, Denver, CO 80209 • United States

3200 Cherry Creek South Drive Suite 280, Denver, CO 80209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Denver CO 12/2014 08/2021
Mml Investors Services Denver CO 08/2017 08/2021
Global Wealth Strategies And Associates, Llc Denver CO 10/2021 Present
Previous Registrations
Other Businesses

(1) Name: Rachel's Challenge Inv rel: N Add: 7901 Southpark Plaza #210 Littleton, CO. 80120 Nature: Compensated board service Position: Board member Start date: 12/2015 No. HR/MO: 10 No. HR/MO during sec trading: 0 (2) Name: Way Holdings, LLC Inv rel: Y Add: 12958 Adam Aircraft Circle East #D38 D40 Englewood, CO. 80112 Nature: Ownership entity for GWS&A RIA; also used for real estate holdings Position: Owner Start date: 2012 No. HR/MO: 1 No. HR/MO during sec trading: 0 (3) Name: Global Wealth Strategies Insurance, LLC Inv rel:N Add: 3200 Cherry Creek South Drive, Suite 280 Denver, CO 80209. Nature: Life, health, fixed annuity insurance sales Position: Sales, agent, ownership Start date: 2002 No. HR/MO: 20 No. HR/MO during sec trading: 15 (4) Name: Adam Ladd Way Trust Inv rel: N Add: At Residential Address Nature: Trust Position: Trustee Start date: 04/08/2021 No. HR/MO: 0 No. HR/MO during sec trading: 0 (5) Name: B&A Way, LLC Inv rel: N Add: At Residential Address Nature: Personal real estate investments Start date: 01/13/2023 No. HR/MO: 63 No. HR/MO during sec trading: 0 Position: Partner (6) Name: Adam Way Racing Inv rel: N Add: At Residential Address Nature: Organization to support mountain biking enthusiasts Start date: 04/08/2021 No. HR/MO: 0 No. HR/MO during sec trading: 0 Position: Founder (7) Name: CFP Bard Center for Financial Planning Inv rel: Y Nature: Volunteer offering advice and counsel. No compensation received. Start date: 04/08/2021 No. HR/MO: 5 No. HR/MO during sec trading: 0 Position: Volunteer (8) Name: Maverick Lending Solutions, LLC Inv rel: Y Nature: Lending solutions including mortgage lending, personal loans, and other related financial services. No compensation received. Start date: 12/14/2023 No. HR/MO: 1 No. HR/MO during sec trading: 0 Position: Board of Directors

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-30
S63 Uniform Securities Agent State Law Examination 2004-12-07
  • S65 Uniform Investment Adviser Law Examination
    2012-01-30
  • S63 Uniform Securities Agent State Law Examination
    2004-12-07
Designations

View on SEC IAPD

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