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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
TX RA APPROVED 2020-07-11
  • TX RA
    APPROVED
    Since 2020-07-11

Branch Locations

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

8080 N. Central Expressway Suite 1700, Dallas, TX 75206 • United States

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

209 W. College Street, Mesquite, TX 75149 • 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
Axcent Networks Plano TX 05/2019 07/2020
Florida Atlantic University Boca Raton FL 05/2015 05/2017
Tarleton State University Stephenville TX 05/2017 05/2019
Gwn Securities, Inc. Palm Beach Gardens FL 05/2020 Present
  • 05/2019 → 07/2020
    Axcent Networks
    Plano, TX
  • 05/2015 → 05/2017
    Florida Atlantic University
    Boca Raton, FL
  • 05/2017 → 05/2019
    Tarleton State University
    Stephenville, TX
  • 05/2020 → Present
    Palm Beach Gardens, FL
Other Businesses

1-- INTIRETY WEALTH MANAGEMENT POSITION: Financial Representative. NATURE: DBA/Financial Services/Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2024 ADDRESS: 209 W. College Street Mesquite, TX 75149 United States. DESCRIPTION: DBA; Life Insurance sales to customers; and Financial Services. LIFE INSURANCE/ANNUITIES POSITION: Agent NATURE: Life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/03/2022 ADDRESS: 209 W College St, Mesquite TX 75149, United States DESCRIPTION: Sell life insurance and annuities when it fits a client's need.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-11
  • S66 Uniform Combined State Law Examination
    2020-07-11

View on SEC IAPD

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