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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 2024-03-28
  • CA RA
    APPROVED
    Since 2024-03-28

Branch Locations

Alhambra, CA • United States

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

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • 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
American Multi-Cinema (Amc) Montebello CA 07/2017 06/2019
Ross Alhambra CA 06/2021 08/2021
Robinhood Chico CA 08/2021 07/2022
Unemployed Alhambra CA 11/2010 06/2017
Don Bosco Technical Institute Alhambra CA 07/2019 05/2021
California State University Chico CA 08/2022 06/2023
Gwn Securities, Inc. Palm Beach Gardens FL 07/2023 Present
  • 07/2017 → 06/2019
    American Multi-Cinema (Amc)
    Montebello, CA
  • 06/2021 → 08/2021
    Ross
    Alhambra, CA
  • 08/2021 → 07/2022
    Robinhood
    Chico, CA
  • 11/2010 → 06/2017
    Unemployed
    Alhambra, CA
  • 07/2019 → 05/2021
    Don Bosco Technical Institute
    Alhambra, CA
  • 08/2022 → 06/2023
    California State University
    Chico, CA
  • 07/2023 → Present
    Palm Beach Gardens, FL
Other Businesses

LA PENSION PLANNERS POSITION: Registered Representative NATURE: Financial Services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/1/2023 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: DBA/ Financial Services. LIFE & HEALTH INSURANCE POSITION: Financial Professional NATURE: Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 5/1/2022 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: Life Insurance sales to customers.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-07
  • S66 Uniform Combined State Law Examination
    2024-02-07

View on SEC IAPD

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