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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 2014-11-17
  • NJ RA
    APPROVED
    Since 2014-11-17

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

1011 Route 22 Suite 104, Bridgewater, NJ 08807 • 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 11/2014 Present
Previous Registrations
  • 2010-05-24 → 2014-12-10
    Ic Advisory Services, Inc.
    Warren, NJ
    Bedminster, NJ
  • 2009-01-23 → 2010-06-09
    Securities America Advisors, Inc.
    Lavista, NE
  • 2007-10-02 → 2009-01-23
    Brecek & Young Advisors, Inc.
    Folsom, CA
    Parsippany, NJ
    Parsippany, NJ
Other Businesses

INSURANCE AGENT/BROKER THROUGH APPROVED EXCHANGE. OFFER TO CLIENTS, PROSPECTS WHEN RECOMMENDATIONS ARE APPROPRIATE. COMPENSATION IS FROM COMMISSIONS.DEVOTE 60% PER MONTH. ESTABLISHED 2001. JK FINANCIAL SERVICES, LLC POSITION: Owner NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 08/01/2017 ADDRESS: 12 Loweer Center St suite 9, Clinton NJ 08809, United States DESCRIPTION: Offering and maintaning client investments and insurance LIFE INSURANCE AND ANNUITIES POSITION: Financial Advisor NATURE: Financial Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/05/2014 ADDRESS: 12 Lower Center st, Clinton NJ 08809, United States DESCRIPTION: Offer life insurance to my clients

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-27
S63 Uniform Securities Agent State Law Examination 2003-07-15
  • S65 Uniform Investment Adviser Law Examination
    2007-09-27
  • S63 Uniform Securities Agent State Law Examination
    2003-07-15

View on SEC IAPD

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