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Current Employers
Gwn Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2012-11-16
  • UT RA
    APPROVED
    Since 2012-11-16

Branch Locations

1268 West South Jordan Parkway Ste. 201, South Jordan, UT 84095 • United States

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

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • 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 11/2012 Present
Previous Registrations
  • 2010-03-08 → 2012-11-16
    Legend Advisory, Llc
    South Jordan, UT
    South Jordan, UT
    Herriman, UT
    Palm Beach Gardens, FL
  • 2005-02-15 → 2010-03-16
    Salt Lake City, UT
    Herriman, UT
    Salt Lake City, UT
Other Businesses

BLACKRIDGE FINANCIAL GROUP HAS A TENANT THAT LEASES SPACE WITHIN OUR OFFICE. I PERSONALLY DO NOT RECEIVE THIS MONEY DIRECTLY. THE LEASE MONEY GOES TOWARDS MAINTENANCE, UTILITIES AND UPKEEP OF THE ENTIRE OFFICE. WE RECEIVE $425 A MONTH. MOFFITT FINANCIAL LLC 3630 W. SOUTH JORDAN PARKWAY, SUITE 104 SOUTH JORDAN, UT 84095 OWNER I SOLELY USE THIS BUSINESS FOR TAX PURPOSES.IT IS A PASS THROUGH OF MY INCOME DISTRIBUTED FROM MY BROKER DEALER. I DO NOT MARKET MYSELF OR OTHERS WITH THIS NAME. THIS BUSINESS IS NEVER USED IN PUBLIC WITH CLIENTS OR PROSPECTIVE CLIENTS. IT ALLOWS ME THE ABILITY TO DIFFERENTIATE MY COSTS OF DOING BUSINESS ON A TAX BASIS. Black Ridge Wealth Management, Is Investment Related, DBA, Financial Professional, 11/16/2012,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. Creative One Marketing Is Not Investment Related, "6330 Sprint Parkway, Suite 400, Overland Park, KS, 66211, United States", Processing life insurance and annuities, Insurance Agent, 9/30/2025, 5 hours per month, 5 hours per month during trading hours, Commission Compensation, CreativeOne is my Insurance Marketing Organization that I use to shop for insurance products including life insurance and annuities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-03
  • S66 Uniform Combined State Law Examination
    2005-02-03

View on SEC IAPD

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