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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 2021-06-18
  • CA RA
    APPROVED
    Since 2021-06-18

Branch Locations

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

Glendale, CA • 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
In Home Supportive Service Glendale CA 08/2019 Present
Robert Half Montrose CA 11/2018 10/2019
Anthony International Sylmar CA 01/2018 05/2018
Robert Half Sylmar CA 06/2017 01/2018
In Home Supportive Service Glendale CA 06/2011 05/2019
California State University, Northridge Northridge CA 08/2015 06/2017
Axa Advisors Llc Los Angeles CA 11/2019 06/2020
Equitable Advisors, Llc New York NY 11/2019 06/2021
Gwn Securities, Inc Palm Beach Gardens FL 06/2021 Present
  • 08/2019 → Present
    In Home Supportive Service
    Glendale, CA
  • 11/2018 → 10/2019
    Robert Half
    Montrose, CA
  • 01/2018 → 05/2018
    Anthony International
    Sylmar, CA
  • 06/2017 → 01/2018
    Robert Half
    Sylmar, CA
  • 06/2011 → 05/2019
    In Home Supportive Service
    Glendale, CA
  • 08/2015 → 06/2017
    California State University, Northridge
    Northridge, CA
  • 11/2019 → 06/2020
    Axa Advisors Llc
    Los Angeles, CA
  • 11/2019 → 06/2021
    New York, NY
  • 06/2021 → Present
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

IN-HOME SUPPORTIVE SERVICES PROVIDER POSITION: Provider NATURE: Providing care for elderly/disabled. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 1118 Irving Ave. APT 12, Glendale CA 91201, United States DESCRIPTION: Caring for elderly/disabled. Includes tasks such as meal preparation, laundry, grocery shopping, housecleaning, grooming. INSURANCE Is Not Investment Related, Fixed insurance and annuity business, Agent, 2021-06-17, 10 hours per month, 5 hours per month during trading hours, Commission Compensation, "When appropriate based on client's 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" LA PENSION PLANNERS POSITION: Financial Professional NATURE: Financial Services INVESTMENT RELATED: Is Investment Related START DATE: 2021-05-20, HOURS PER MONTH: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation, DESCRIPTION: DBA for financial services

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-26
  • S66 Uniform Combined State Law Examination
    2019-06-26

View on SEC IAPD

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