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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

1011 Route 22 Suite 104, Bridgewater, NJ 08807 • 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

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
Metlife Securities Inc Somerset NJ 06/2011 03/2017
Massachusetts Mutual Life Insurance Company Wall Township NJ 07/2016 08/2018
Mml Investors Services, Llc Wall Township NJ 03/2017 08/2018
Gwn Securities, Inc. Palm Beach Gardens FL 08/2018 Present
  • 06/2011 → 03/2017
    Metlife Securities Inc
    Somerset, NJ
  • 07/2016 → 08/2018
    Massachusetts Mutual Life Insurance Company
    Wall Township, NJ
  • 03/2017 → 08/2018
    Wall Township, NJ
  • 08/2018 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2017-03-25 → 2018-08-21
    Barnegat, NJ
    Wall Township, NJ
  • 2012-05-02 → 2017-03-25
    Msi Financial Services, Inc.
    Long Branch, NJ
    Cranford, NJ
    Cranford, NJ
    Wall Township, NJ
    Long Branch, NJ
    Cranford, NJ
    Wall Township, NJ
    Barnegat, NJ
Other Businesses

INDEPENDENT INSURANCE AGENT - DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE - FROM BUSINESS ADDRESS - 2 SECURITY HOURS AND 0 NON SECURITY HOURS - SINCE 08/2014 LIFE INSURANCE POSITION: Financial Advisor NATURE: Life insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 08/17/2018 ADDRESS: 517 Route 1 S Suite 4100, Iselin NJ 08830, United States DESCRIPTION: Provide my clients with life insurance guidance. Infiniti Financial Services 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. SHOCKPROOF INSURANCE LLC INVESTMENT RELATED: Is Not Investment Related, ADDRESS: "93 Wellington Drive, Tinton Falls, NJ, 07724, United States", NATURE: fixed insurance business, POSITION: Financial Representative, START DATE: 4/7/2025, NUMBER OF HOURS: 20 hours per month, 0 hours per month during trading hours, Commission Compensation, DESCRIPTION: Provide fixed insurance products to clients to address their financial needs.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-04-16
S63 Uniform Securities Agent State Law Examination 2007-04-11
  • S65 Uniform Investment Adviser Law Examination
    2012-04-16
  • S63 Uniform Securities Agent State Law Examination
    2007-04-11

View on SEC IAPD

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