Stephen Michael Derosa

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → Present
  Gwn Securities Inc
  Palm Beach Gardens, FL

Previous Registrations

• 2014-05-02 → 2016-12-31
  Jost Financial Management Corp.
  Green Brook, NJ
• 2014-04-23 → 2014-12-10
  Ic Advisory Services, Inc.
  Warren, NJ
  Bedminster, NJ

Other Businesses

MADISON BROKERAGE POSITION: Producer NATURE: Life insurance, long-term care insurance and non-variable annuity platforms. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 65 Madison Ave, #200, Morristown NJ 07960 DESCRIPTION: To use Madison as one brokerage option that can help me find appropriate fits for clients regarding annuities (non-variable), life insurance and-or long-term care insurance. JOST FINANCIAL POSITION: Vice President NATURE: Registered Investment Advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2015 ADDRESS: 7 Red Bud ln, Green Brook NJ 08812 DESCRIPTION: Financial Advisor, marketing, building and maintaining client relationships. RENTAL PROPERTY POSITION: n-a NATURE: Rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/11/2015 ADDRESS: 1600 Broadway, New York NY 10019 DESCRIPTION: Help with online advertising, respond to questions about the rental via phone or email and help faciltate the rental process as needed. GRADIENT INSURANCE BROKERAGE AGENT REFERRAL PROGRAM POSITION: Referring Agent NATURE: To refer other licensed agents to Gradient Insurance Brokerage. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2017 ADDRESS: 4105 Lexington ave. N., Suite 360, Arden Hills MN 55126, United States DESCRIPTION: My duties would be to let people know about Gradient Insurance Brokerage to see if they would want to contact them to learn more about using them in their own practice.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-04-18
• S63 Uniform Securities Agent State Law Examination
  2011-02-19