Carl Alexander Neitzel

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

• 01/2004 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2002-05-15 → 2003-10-01
  Pmg Asset Management Inc
  West Palm Beach, FL

Other Businesses

CONSULTING ARRANGEMENT WITH TSCI, WITH REGARD TO THE FTJ AND FEW OTHER CLIENTS. BUSINESS IS NOT INVESTMENT RELATED, BUSINESS IS SOFTWARE RELATED. AGREEMENT IS AFFECT 8/1/2014 40 HOURS A MONTH 2,000 MONTH CONSULTING PAYMENT

Exams

• S63 Uniform Securities Agent State Law Examination
  2006-12-21
• S65 Uniform Investment Adviser Law Examination
  1999-11-19