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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
CA RA APPROVED 2017-05-26
  • CA RA
    APPROVED
    Since 2017-05-26

Branch Locations

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

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

21515 Hawthorne Blvd. Second Floor Gg, Torrance, CA 90503 • 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
Planmember Securities Corporation Carpinteria CA 10/2012 05/2017
Surety Investment Services Los Angeles CA 09/2012 05/2017
Gwn Securities, Inc. Palm Beach Gardens FL 05/2017 Present
Previous Registrations
Other Businesses

THE GALEB GROUP Is Investment Related, "21515 Hawthorne Blvd., Suite 200, Torrance, CA, 90503, United States", "FIXED/LIFE INSURANCE, LONG-TERM CARE INSURANCE, DBA ", "Financial Professional, Agent", 2017-05-01, 160 hours per month, 160 hours per month during trading hours, Commission Compensation, "Securities DBA, Insurance Sales"

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-07-28
  • S66 Uniform Combined State Law Examination
    2011-07-28

View on SEC IAPD

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