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Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Market timing

From the firm’s Form ADV. Read the guides:

Current Employers
Gwn Securities Inc.

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-10-11
OH RA APPROVED 2006-10-02
  • FL RA
    APPROVED
    Since 2022-10-11
  • OH RA
    APPROVED
    Since 2006-10-02

Branch Locations

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA

Hudson, OH • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Marco Island, FL • United States

Disclosures

2 disclosure categories 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cleercreek Financial Corp Hudson OH 07/1995 Present
Ing Hudson OH 01/2005 Present
Gwn Securities Inc. Palm Beach Gardens FL 09/2006 Present
  • 07/1995 → Present
    Cleercreek Financial Corp
    Hudson, OH
  • 01/2005 → Present
    Ing
    Hudson, OH
  • 09/2006 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2005-01-07 → 2006-09-27
    Voya Financial Partners, Llc
    Hudson, OH
    Hudson, OH
    Hudson, OH
    Raleigh, NC
Other Businesses

1931 GEORGETOWN LLC POSITION: OWNER NATURE: OFFICE BUILDING OWNERSHIP AND RENTAL INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2006 ADDRESS: 1931 GEORGETOWN RD 100, HUDSON OH 44236 DESCRIPTION: OWNER OF OFFICE BUILDING IN HUDSON OHIO EMJ LLC POSITION: manger NATURE: to mangage a portion of the net worth of denton and maureen brooks , investing in stocks , bonds and mutual funds and real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2007 ADDRESS: 6056 nicholson dr, hudson OH 44236 DESCRIPTION: manager of family limited partnership trust for Denton and Maureen Brooks. Business name: ClearCreek Financial Group, Business Address: 6187 Burr Oak Way, Hudson Ohio 44236, Position Held: Owner, Expected annual income: 150000, Compensation Type: Fee-based, Hours Per Month: 80, Hours Per Month Trading: 0, Involvement status: ACTIVE, Start: 1996-03-18, Activity description: Financial services, Investment Related?: YES, Will this activity interfere with or compromise your responsibilities as a registered representative?: NO, Is there an expectation to solicit other ownership or raise capital? : NO, Is there a web presence? : YES, Is there check-writing, trading authority/custody or control?: NO, Please list all non-securities licenses and/or certifications/professional designations that may apply to this activity (i.e. insurance, CPA, ChFC, etc.): insurance

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-13
S63 Uniform Securities Agent State Law Examination 1995-09-14
  • S65 Uniform Investment Adviser Law Examination
    1997-05-13
  • S63 Uniform Securities Agent State Law Examination
    1995-09-14
Other Names
  • Denny Brooks

View on SEC IAPD

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