Robert James Thomas

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

• 07/2016 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2012-09-18 → 2016-07-22
  Equitable Advisors, Llc
  Playa Vista, CA
  Woodland Hills, CA
  Woodland Hills, CA

Other Businesses

FIXED LIFE, FIXED INSURANCE, HEALTH INSURANCE, LTC POSITION: independent agent NATURE: placing fixed annuities and insurance for clients whom are suitable for such products aimed for guaranteed benefits. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2016 ADDRESS: 1240 Rosecrans Ave, Suite 120, Manhattan Beach CA 90266, United States DESCRIPTION: When a client expresses a desire for safety of principle or a want for guaranteed benefits of a product, the use of fixed annuities and insurance is explored as an alternative to variable solutions for the client. PACIFIC WAY WEALTH MANAGEMENT POSITION: Financial Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 hours per month SECURITIES TRADING HOURS: 5 hours per month during trading hours, START DATE: 2023-02-01 COMPENSATION: Other Compensation. ADDRESS: 20707 Anza Ave #155, Torrance, CA 90503 DESCRIPTION: Help clients establish new accounts and consolidate older accounts. Ongoing customer relations through reviews and service. Compensation is a combination of advisory fees and commissions.

Exams

• S66 Uniform Combined State Law Examination
  2012-09-13

Other Names

• Robert J. Thomas