Adviser and broker representative · The L. Warner Companies, Inc.
Richard D. Spivey
CRD 1062792 · Timonium, MD
At a glance
Richard D. Spivey is an investment adviser representative with The L. Warner Companies, Inc. in Timonium, MD, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Richard’s SEC record dates to 2005, about 21 years ago. Richard is also registered as a broker representative. Designations on file: Chartered Financial Consultant.
Current advisory firm
- The L. Warner Companies, Inc.Since January 2026Timonium, MD · $802M in regulatory assets
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- Chartered Financial Consultant
- Exams
- Series 63
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Richard’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.