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425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-03-11 |
| MD | RA | APPROVED | 2019-07-26 |
| VA | RA | APPROVED | 2013-01-02 |
Branch Locations
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173 • United States
6802 Paragon Place Suite 410, Richmond, VA 23230 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cl Wealth Management Llc | Richmond | VA | 01/2013 | Present |
| Cabot Lodge Securities | New York | NY | 06/2013 | Present |
| Warneford Wealth Management Llc | Richmond | VA | 01/2014 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-26 |
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