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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
TX RA APPROVED 2014-06-03
  • TX RA
    APPROVED
    Since 2014-06-03

Branch Locations

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

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

Azie, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwn Securities Inc. Palm Beach Gardens FL 06/2014 Present
Previous Registrations
Other Businesses

LIFE INSURANCE AND ANNUITIES POSITION: AGENT NATURE: LIFE INSURANCE AND FIXED ANNUITES INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/02/2014 ADDRESS: 201 Pecan Street, Fort Worth, TX 76102 DESCRIPTION: GETTING QUOTES, ILLUSTRATIONS AND APPLICATIONS. REDWOOD FINANCIAL GROUP, Is Investment Related, DBA, Financial Professional 06/03/2014,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. RB WEALTH MANAGEMENT, LLC Is Investment Related, ADDRESS: "7190 Briar Road, , Azle, TX, 76020, United States", NATURE: Financial, POSITION: Owner, 9/20/2024, 120 hours per month, 0 hours per month during trading hours, DESCRIPTION; Paid by LLC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-07
  • S66 Uniform Combined State Law Examination
    2002-03-07
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Rhonda Foster

View on SEC IAPD

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