Carlos Eloy Tocabens

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

• 01/2006 → Present
  Retirementrx
  Naples, FL
• 01/2006 → Present
  Money Concepts Capital Corp.
  Palm Beach Gardens, FL

Other Businesses

PRINCIPAL WITH RETIREMENTRX: PENSION/401K AND HEALTH & WELFARE PLAN - DUTIES INCLUDE PLAN DESIGN AND ADMINISTRATION, SALE, AND SERVICE. RE-ACTIVATED EFFECTIVE 1/1/2006, HOURS DEVOTED IS APPROXIMATELY 2-3 HOURS PER WEEK (INCLUDING TRADING AND NON-TRADING HOURS). DUTIES ARE NON-INVESTMENT RELATED. PRESIDENT - RETIREMENTRX POSITION: President NATURE: Pension/Benefit Plan Administration, Record keeping INVESTMENT RELATED: NO, HOURS: 50, INVESTMENT RELATED HOURS: 0, START DATE: 07/01/2011 ADDRESS: 9638 Oxford Street, Naples, FL 34109 DESCRIPTION: Third-party design, administration, record-keeping, compliance for ERISA employee pension and benefit plans, including operational reviews, training employer's staff on key concepts of ERISA and the Internal Revenue Code rules, payroll administration, plan design, form 5500 tax filing preparation, annual IRC compliance including non-discrimination testing, Internal Revenue Service compliance resolution programs, DOL compliance resolution programs.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-05-09
• S63 Uniform Securities Agent State Law Examination
  2007-01-03