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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 • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA

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
Metlife Securities Inc. Princeton NJ 01/2015 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 09/2022
Mml Investors Services, Llc Princeton NJ 03/2017 07/2020
Gwn Securities, Inc. Palm Beach Gardens FL 07/2020 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Princeton, NJ
  • 07/2016 → 09/2022
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 07/2020
    Princeton, NJ
  • 07/2020 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2017-03-25 → 2020-07-02
    Princeton, NJ
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Princeton, NJ
  • 2010-03-08 → 2015-01-02
    New England Securities
    Princeton, NJ
Other Businesses

1.)INDEPENDENT INSURANCE AGENT FROM BUSINESS ADDRESS 1 HOUR SECURITIES DENTAL AND GROUP DISABILITY INCOME -LIFE ACCIDENT AND HEALTH SINCE 1/2015 2.) Creative Risk Management, Is Not Investment Related, Property Casualty, Sales Broker, 2016-01-01, 2 hours per month, 0 hours per month during trading hours, Commission Compensation, "obtain client/prospect existing property casualty declaration pages and send to CRM once new quotes are obtained, position property casualty quotes to clients" 3.) INVEST IN TOMORROW, LLC Is Investment Related, LLC, Owner, 2023-01-01, 0 hours per month, 0 hours per month during trading hours, No Compensation Compensation, LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-02
S63 Uniform Securities Agent State Law Examination 2004-01-26
  • S65 Uniform Investment Adviser Law Examination
    2010-03-02
  • S63 Uniform Securities Agent State Law Examination
    2004-01-26

View on SEC IAPD

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