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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 2018-08-20
  • NJ RA
    APPROVED
    Since 2018-08-20

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

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metropolitan Life Insurance Company Woodbridge NJ 02/2007 08/2018
Metlife Securities Inc Woodbridge NJ 02/2007 08/2018
Mml Investors Services, Llc Barnegat NJ 03/2017 08/2018
Gwn Securities, Inc. Palm Beach Gardens FL 08/2018 Present
  • 02/2007 → 08/2018
    Metropolitan Life Insurance Company
    Woodbridge, NJ
  • 02/2007 → 08/2018
    Metlife Securities Inc
    Woodbridge, NJ
  • 03/2017 → 08/2018
    Barnegat, NJ
  • 08/2018 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2017-03-25 → 2018-08-23
    Barnegat, NJ
    Wall Township, NJ
  • 2007-06-01 → 2017-03-25
    Msi Financial Services, Inc.
    Wall Township, NJ
    Hamilton, NJ
    Jackson, NJ
    Cranford, NJ
    Freehold, NJ
    Cranford, NJ
    Jackson, NJ
    Wall Township, NJ
    Jackson, NJ
    Cranford, NJ
    Barnegat, NJ
Other Businesses

INDEPENDENT INSURANCE AGENT - FROM BUSINESS ADDRESS - DISABILITY,FIXED ANNUITIES,LIFE/ACCIDENT/HEALTH,LTC - 2 SEC HRS 1 NON SEC HR PER WEEK SINCE 07/2015 LIFE INSURANCE, DI, FIXED ANNUITY POSITION: CFP NATURE: insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2018 ADDRESS: 517 route 1, suite 4100, Iselin NJ 08830, United States DESCRIPTION: Quoting insurance products and writing applications. Underwriting follow up. ROLLING ACRES HOME OWNERS ASSOCIATION POSITION: board member NATURE: Home owners association INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/12/2021 ADDRESS: po box 164, new egypt NJ 08533, United States DESCRIPTION: Confer on our developments' projects. INFINITY FINANCIAL GROUP., Is Investment Related, DBA, Financial Professional, 08/20/2018,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. SCHOCKPROOF INSURANCE LLC INVESTMENT RELATED: Is Not Investment Related, ADDRESS: "345 Fieldcrest Dr, New Egypt, NJ, 08533, United States", Insurance, Managing Member, 4/7/2025, 40 hours per month, 0 hours per month during trading hours, Commission Compensation DESCRITPION: Provide fixed annuity and insurance products

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-04-02
S63 Uniform Securities Agent State Law Examination 2003-09-02
  • S65 Uniform Investment Adviser Law Examination
    2007-04-02
  • S63 Uniform Securities Agent State Law Examination
    2003-09-02
Designations
  • Certified Financial Planner

View on SEC IAPD

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