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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
NJ RA APPROVED 2020-07-06
  • NJ RA
    APPROVED
    Since 2020-07-06

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

1028 Us Highway 206 S Unit 2, Bordentown, NJ 08505 • 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
Metlife Securities Inc Wall NJ 10/2015 03/2017
Mml Investors Services, Llc Wall Township NJ 03/2017 07/2020
Massmutual Life Insurance Co Wall Township NJ 07/2016 Present
Gwn Securities, Inc. Palm Beach Gardens FL 07/2020 Present
  • 10/2015 → 03/2017
    Metlife Securities Inc
    Wall, NJ
  • 03/2017 → 07/2020
    Wall Township, NJ
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Wall Township, NJ
  • 07/2020 → Present
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

Attorney - inactive Insurance - Life, Disability, Long Term Care, Property and Casualty, Health and accident - 3 hours per week. Strategic Wealth Resource Group POSITION: Financial Professional NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/30/2020 ADDRESS: 1028 US Highway 206 S., Unit 2, Bordentown, 08505, United States DESCRIPTION: Securities DBA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-19
S63 Uniform Securities Agent State Law Examination 2009-05-11
S66 Uniform Combined State Law Examination 2002-01-04
  • S65 Uniform Investment Adviser Law Examination
    2009-05-19
  • S63 Uniform Securities Agent State Law Examination
    2009-05-11
  • S66 Uniform Combined State Law Examination
    2002-01-04

View on SEC IAPD

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