Anees Mahmood Saifi

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

• 08/2011 → 03/2020
  Axa Advisors, Llc
  Los Angeles, CA
• 03/2020 → Present
  Massmutual Life Insurance
  Los Angeles, CA
• 04/2020 → 05/2022
  Mml Investors Services, Llc
  Los Angeles, CA
• 02/2022 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2020-05-04 → 2022-05-16
  Mml Investors Services, Llc
  Los Angeles, CA
• 2012-03-19 → 2020-03-25
  Equitable Advisors, Llc
  Los Angeles, CA

Other Businesses

INSURANCE POSITION: Agent NATURE: Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2021 COMPENSATION: commission ADDRESS: 177 E. Colorado Blvd, Suite 200, Pasadena CA 91105, United States DESCRIPTION: Insurance Sales. LA PENSION PLANNERS POSITION: Registered Rep NATURE: DBA/Financial Services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/11/2022 COMPENSATION: commission ADDRESS: 3435 Wilshire BLVD Suite 2700-14, Los Angeles, CA 90010, United States DESCRIPTION: Securities DBA used in conjunction with Investment Sales.

Exams

• S66 Uniform Combined State Law Examination
  2011-10-03

Other Names

• Anees Saifi
• Sean Saifi