Randolph Mark Warren

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 06/2017
  Triad Advisors, Inc.
  Norcross, GA
• 07/2016 → 08/2019
  Gitterman Wealth Management, Llc
  Edison, NJ
• 06/2017 → 08/2019
  Vanderbilt Securities, Llc
  Woodbury, NY
• 08/2019 → Present
  Gwn Securities, Llc
  Palm Beach Gardens, FL

Previous Registrations

• 2016-08-02 → 2019-08-29
  Gitterman Wealth Management, Llc
  Hamilton, NJ
• 2005-12-07 → 2016-07-08
  Msi Financial Services, Inc.
  Hamilton, NJ
  Cranford, NJ
  Cherry Hill, NJ
  Springfield, MA
  Springfield, MA
  Cranford, NJ
• 2002-07-01 → 2005-12-31
  Metlife Investment Fund Services Llc
  Woodbridge, NJ

Other Businesses

LIFE INSURANCE POSITION: agent NATURE: Finances INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 01/01/1992 ADDRESS: 2279 Highway 33, Hamilton NJ 08690, United States DESCRIPTION: answer client questions and review needs and solutions ROCKHAVEN WEALTH MANAGEMENT, Is Investment Related, DBA, Financial Professional, 08/30/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-06-28
• S63 Uniform Securities Agent State Law Examination
  1989-08-21

Other Names

• Randy Warren