Frederick Morris Fegan

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

• 05/2001 → 12/2016
  Axa Advisors, Llc
  New York, NY
• 12/2016 → Present
  Gwn Securities, Inc
  Palm Beach Gardens, FL

Previous Registrations

• 2003-01-23 → 2017-01-11
  Equitable Advisors, Llc
  New York, NY
  Cincinnati, OH
  Cincinnati, OH

Other Businesses

MEDICARE SUPPLEMENTS/INSURANCE POSITION: PRODUCER NATURE: MEDICARE SUPPLEMENTS/INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/28/2018 ADDRESS: 739 N FRED SHUTTLESWORTH RD CIR, CINCINNATI OH 45229, UNITED STATES DESCRIPTION: MEETING WITH CLIENTS AND PROSPECTS TO ASSESS THEIR MEDICARE SUPPLEMENT/INSURANCE NEEDS. YFF PROPERTIES, LLC. - REAL ESTATE INVESTING POSITION: OWNER NATURE: REAL ESTATE INVESTING INVESTMENT RELATED: NO NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2018 ADDRESS: 739 N FRED SHUTTLESWORTH, CINCINNATI OH 45229, UNITED STATES DESCRIPTION: I WILL BE PURCHASING PROPERTIES FOR MYSELF AND RENTING THEM TO TENANTS. WEALTH MANAGEMENT AND RETIREMENT OPTIONS INVESTMENT RELATED, DBA, FINANCIAL PROFESSIONAL 01/03/2017,160 HOURS PER MONTH, 160 HOURS PER MONTH DURING TRADING HOURS, COMMISSION COMPENSATION, SECURITIES DBA USED IN CONJUNCTION WITH INVESTMENT SALES. HAMILTON COUNTY BOARD OF ELECTONS WORKER, IS NOT INVESTMENT RELATED, ADDRESS: 4700 SMITH ROAD, 4700 SMITH RD, NORWOOD, OHIO 45212, NORWOOD, OH, 45212, UNITED STATES", NATURE: PRESIDENTIAL ELECTIONS, POSITION: POLL WORKER, START DATE: 11/5/2024, 12 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS DESCRIPTION: CHECK IN VOTERS . TRUE FREEDOM HOME CARE PLAN NOT INVESTMENT RELATED; SALES REP; 5 HOURS PER MONTH AND 0 DURING TRADING HOURS; ADDRESS: 8250 BRYAN DAIRY ROAD SUITE 350, LARGO FL 33777; START DATE: 10/31/2024: NATURE: HOME HEALTH CARE; COMPENSATION TYPE: COMMISSION: I WILL SALE HOME HEALTH PLANS, (NON-INSURANCE) TO CLIENTS WHO CAN'T QUALIFY FOR LTC PLANS. I WILL BE WORKING THROUGH ADVISORS INSURANCE BROKERAGE. EASTER SEALS REDWOOD POSITION: READING TUTOR; NOT INVESTMENT RELATED; 20 HOURS PER MONTH AND 0 TRADING; 2901 GILBERT AVENUE CINCINNATI OH 45206; START: 12/16/2024; COMPENSATION: HOURLY; DUTY: I WILL TEACH A MAN HOW TO READ. LOWES Is Not Investment Related, "Highland Avenue, Cincinnati, OH, 45209, United States", Retail, Cashier, START DATE: 6/3/2025,150 hours per month,0 hours per month during trading hours, Hourly Compensation, Check out items that customers purchase. AMAZON Is Not Investment Related, "150 RUANE DRIVE, WILMINGTON, OH, 45177, United States", LOGISTICS, WAREHOUSE ASSOCIATE, 8/9/2025, 160 hours per month, 0 hours per month during trading hours, Hourly Compensation DESCRIPTION: LOADING CONTAINERS

Exams

• S66 Uniform Combined State Law Examination
  2002-01-18