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Current Employers
Gwn Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-09-06
  • NY RA
    APPROVED
    Since 2022-09-06

Branch Locations

4 Executive Park Drive, Albany, NY 12203 • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • 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
Ymca Delmar NY 10/2016 04/2020
Twisted Vine Wine And Tap Delmar NY 08/2017 03/2018
Browns Brewing Co. Troy NY 05/2019 06/2021
Northwestern Mutual Latham NY 06/2021 02/2022
Unemployed Delmar NY 06/2012 07/2017
Unemployed Delmar NY 03/2022 06/2022
Northeast Wealth Management Albany NY 07/2022 Present
Gwn Securities Inc. Palm Beach Gardens FL 07/2022 Present
  • 10/2016 → 04/2020
    Ymca
    Delmar, NY
  • 08/2017 → 03/2018
    Twisted Vine Wine And Tap
    Delmar, NY
  • 05/2019 → 06/2021
    Browns Brewing Co.
    Troy, NY
  • 06/2021 → 02/2022
    Northwestern Mutual
    Latham, NY
  • 06/2012 → 07/2017
    Unemployed
    Delmar, NY
  • 03/2022 → 06/2022
    Unemployed
    Delmar, NY
  • 07/2022 → Present
    Northeast Wealth Management
    Albany, NY
  • 07/2022 → Present
    Palm Beach Gardens, FL
Other Businesses

MIXED BREED BREWING POSITION: Drink Service NATURE: Bartender INVESTMENT RELATED: Is Not Investment Related START DATE: 2023-06-07 HOURS: 20 hours per month SECURITIES TRADING HOURS: 0 hours per month during trading hours, ADDRESS: 457 State Route 146, Guilderland, NY 12085 DESCRIPTION: Pour and Serve drinks to customers. Close brewery at end of night. NORTHEAST WEALTH MANAGEMENT, LLC, Is Investment Related, DBA and Insurance Sales, Financial Professional and Insurance Agent, 07/12/2022,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales and fixed life insurance products position

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-09-16
S65 Uniform Investment Adviser Law Examination 2022-09-06
  • S63 Uniform Securities Agent State Law Examination
    2022-09-16
  • S65 Uniform Investment Adviser Law Examination
    2022-09-06
Other Names
  • Gavin T Heffernan

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