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Gwn Securities Inc. CRD 128929
$4.75B regulatory AUM 54 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 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
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-26 |
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