GLOBAL ASSETS ADVISORY, LLC of ORLANDO, FL is an SEC-registered investment adviser (CRD 300460). Regulatory assets under management: $551.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Edward Richard Cofrancesco | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/PRESIDENT | — |
| Richard Jay Weiss | CHIEF COMPLIANCE OFFICER | — |
| David S Weinberger | CHIEF FINANCIAL OFFICER | — |
| Matthew Edward Lampman | CHIEF OPERATING OFFICER; PRESIDENT/CHIEF OPERATING OFFICER | — |
| WEISS MARC JAY | CCO; CHIEF COMPLIANCE OFFICER | — |
| COFRANCESCO EDWARD RICHARD | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/PRESIDENT; MEMBER (+1 more) | — |
| WINN JEFFREY GERALD | MEMBER | — |
| LAMPMAN MATTHEW EDWARD | CHIEF OPERATING OFFICER; DIRECTOR OF OPERATIONS | — |
| WEINBERGER DAVID S | CHIEF FINANCIAL OFFICER; PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-17 | regulatory | VIOLATION OF ARTICLE V, SECTION 2(C) OF FINRA'S BY-LAWS AND FINRA RULES 1122 AND 2010 - WILLFULLY FAILING TO TIMELY DISCLOSE A FEDERAL TAX LIEN ON YOUR FORM U4 (UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER) VIOLATION OF FINRA RULE 3270 AND 2010 - ENGAGING IN OUTSIDE BUSINESS… | Final | $10K |
| — | regulatory | — | — | — |