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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
PA RA APPROVED 2014-02-11
  • PA RA
    APPROVED
    Since 2014-02-11

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

940 West Valley Road Suite 1200, Wayne, PA 19087 • 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 02/2014 Present
Previous Registrations
Other Businesses

POA FOR UNCLE, INVESTMENT RELATED, EASTON PA, START DATE 09/01/2012, 1 HOUR PER MONTH SELL INSURANCE AND FIXED ANNUITIES APPROXIMATELY 5-10 HOURS PER MONTH. KADES MARGOLIS, Is Investment Related, DBA, Financial Professional, 02/11/2014,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. THE COOP SPORTS BAR AND IKITCHEN Is Not Investment Related, Restaurant, Partner in LLC, 2023-08-24, 0 hours per month, 0 hours per month during trading hours, Other Compensation, Partner in LLC which owns the restaurant - no compensation for two years from start date as per LLC agreement

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-09
S63 Uniform Securities Agent State Law Examination 1997-03-26
  • S66 Uniform Combined State Law Examination
    2012-03-09
  • S63 Uniform Securities Agent State Law Examination
    1997-03-26

View on SEC IAPD

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