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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 2021-06-22
  • CA RA
    APPROVED
    Since 2021-06-22

Branch Locations

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

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

Glendale, CA • United States

177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105 • 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
Axa Advisors, Llc New York NY 07/2015 06/2020
Equitable Advisors, Llc New York NY 07/2015 06/2021
Gwn Securities, Inc. Palm Beach Gardens FL 06/2021 Present
Previous Registrations
Other Businesses

ELIT PRODUCTIONS POSITION: C0-Founder & CEO NATURE: film production and marketing company INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 308 Raymond Ave, Glendale CA 91201, United States DESCRIPTION: film production and marketing company VERTICAL BRACE INC POSITION: Co-Founder NATURE: Durable Medical Equipment distribution (pre-launch). Marketing strategy and product development for a novel patent-pending back brace (pre-launch) INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 308 Raymond Ave, Glendale CA 91201, United States DESCRIPTION: Durable Medical Equipment distribution (pre-launch).Marketing strategy and product development for a novel patent-pending back brace (pre-launch) LA WEALTH PARTNERS POSITION: Managing Partner NATURE: Managing Partner for the firm which is where fixed and index annuities and fixed life insurance products will be placed. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/01/2021 ADDRESS: 177 EAST COLORADO BLVD., SUITE 200, OFFICE 3055, Pasadena CA 91105, United States DESCRIPTION: Managing Partner for the firm which is where fixed and index annuities and fixed life insurance products will be placed. LA Pension Planners, Is Investment Related, DBA, Financial Professional, 06/21/2021,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-27
  • S66 Uniform Combined State Law Examination
    2015-08-27

View on SEC IAPD

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