James Sarsfield Cavanaugh

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

• 10/2014 → Present
  Abmm Financial
  Iselin, NJ
• 08/2015 → Present
  Gwn Securities Inc
  Palm Beach Gardens, FL

Other Businesses

HEALTH STRATEGIES, LLC NON-INVESTMENT RELATED 1216 WASHINGTON STREET CANTON, MA 02021 HEALTH INSURANCE CONSULTING MANAGING MEMBER START DATE: 07/01/2013 15 HOURS A MONTH AND 0 HOURS DURING SECURITIES TRADING HOURS MY DUTIES ARE TO ASSIST SMALL BUSINESS OWNERS WITH HEALTH INSURANCE DECISIONS. LIFE AND DISABILITY INSURANCE POSITION: Independent Agent NATURE: Individual life and disability insurance protection INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2016 ADDRESS: 1300 Veterans Memorial Highway, Suite 210, Hauppauge NY 11788 DESCRIPTION: Duties related to this activity are recommending life or disability insurance when the need is prevelant, quoting and presenting insurance proposals to prospect, assisting prospect with completing necessary applications, following the case through underwriting and delivering the policy. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2015-08-25,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-09-14