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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 2021-06-15
  • CA RA
    APPROVED
    Since 2021-06-15

Branch Locations

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

Tujunga, CA • United States

177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105 • United States

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

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
California State University, Los Angeles Los Angeles CA 08/2013 06/2018
Costco Los Angeles CA 11/2015 07/2020
Axa Advisors Llc Los Angeles CA 02/2020 06/2020
Equitable Advisors, Llc New York NY 02/2020 06/2021
Gwn Securities, Inc. Palm Beach Gardens FL 06/2021 Present
  • 08/2013 → 06/2018
    California State University, Los Angeles
    Los Angeles, CA
  • 11/2015 → 07/2020
    Costco
    Los Angeles, CA
  • 02/2020 → 06/2020
    Axa Advisors Llc
    Los Angeles, CA
  • 02/2020 → 06/2021
    New York, NY
  • 06/2021 → Present
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

LA PENSION PLANNERS POSITION: Associate NATURE: I meet with people who are looking for strategies to improve their financial life. I then look at their situation and make a recommendation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 4 START DATE: 06/21/2021 ADDRESS: 177 East Colorado Blvd Office 3055, Pasadena CA 91105, United States DESCRIPTION: I get into contact with people who are looking to improve their situation with either life insurance or health insurance. I then look around for the best contract for them. INSURANCE POSITION: Agent NATURE: Fixed Insurance and Annuity Business, INVESTMENT RELATED: Is Not Investment Related, START DATE: 2021-06-15, HOURS PER MONTH: 10 hours per month, SECURITIES TRADING HOURS: 5 hours per month during trading hours, COMPENSATION: Commission Compensation, DESCRIPTION: "When appropriate based on clients priorities and situation, the sale of Fixed Life insurance and fixed annuity products including: Term Life, UL, Whole Life, Indexed Universal Life, Fixed Annuities, Fixed Indexed Annuities and MYGAs" PENSION101 INVESTMENT RELATED: Is Not Investment Related, "457 W Allen Ave, Suite 110, San Dimas, CA, 91773, United States", Pension Education & Lead generation system, User/Rep, 9/22/2025, 4 hours per month, 0 hours per month during trading hours, Other Compensation DESCRIPTION: Representatives showing people how to use the education platform. Compensation based on project bases

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-02
  • S66 Uniform Combined State Law Examination
    2020-07-02
Other Names
  • Christian Ardon

View on SEC IAPD

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