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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
FL RA APPROVED 2021-03-17
  • FL RA
    APPROVED
    Since 2021-03-17

Branch Locations

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

1601 Mason Ave., Daytona Beach, FL 32117 • 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
Volusia County Schools Deland FL 08/2009 Present
Gwn Securities, Inc. Palm Beach Gardens FL 08/2019 Present
  • 08/2009 → Present
    Volusia County Schools
    Deland, FL
  • 08/2019 → Present
    Palm Beach Gardens, FL
Other Businesses

INDEPENDENT INSURANCE AGENT POSITION: Independent Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 08/05/2016 ADDRESS: 1601 Mason Avenue, Daytona Beach FL 32117, United States DESCRIPTION: Advise and sell Life, Health, and Fixed Annuity contracts/policies to prospective and existing clients. VOLUSIA COUNTY SCHOOLS POSITION: ESE Teacher NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 5 START DATE: 08/06/2009 ADDRESS: 200 N. Clara Avenue, DeLand FL 32117, United States DESCRIPTION: Educator tasked with scaffolding and differentiating standards for students with disabilities. O.V. WILLIAMS & ASSOCIATES POSITION: Financial Representative NATURE: DBA, INVESTMENT RELATED: Is Not Investment Related, START DATE: 2019-06-21, HOURS PER MONTH: 160 hours per month SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation DESCRIPTION: Financial Services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-01
  • S65 Uniform Investment Adviser Law Examination
    2021-03-01

View on SEC IAPD

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