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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
ID RA APPROVED 2026-05-21
CA RA APPROVED 2024-10-31
  • ID RA
    APPROVED
    Since 2026-05-21
  • CA RA
    APPROVED
    Since 2024-10-31

Branch Locations

Caldwell, ID • 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

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
Delano Recreation Center Van Nuys CA 12/2022 Present
California State University Northridge Northridge CA 08/2022 05/2024
Student North Hills CA 10/2014 08/2022
Gwn Securities, Inc. Palm Beach Gardens FL 10/2024 Present
  • 12/2022 → Present
    Delano Recreation Center
    Van Nuys, CA
  • 08/2022 → 05/2024
    California State University Northridge
    Northridge, CA
  • 10/2014 → 08/2022
    Student
    North Hills, CA
  • 10/2024 → Present
    Palm Beach Gardens, FL
Other Businesses

1-- LA PENSION PLANNERS POSITION: FINANCIAL REPRESENTATIVE NATURE: DBA/FINANCIAL SERVICES. COMPENSATION TYPE: COMMISSION. INVESTMENT RELATED: YES NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 3/1/2024 ADDRESS: 177 E COLORADO BLVD, OFFICE 3055 PASADENA CA, UNITED STATES DESCRIPTION: DBA FOR SECURITIES BUSINESS / DBA/ FINANCIAL SERVICES 2-- LIFE & HEALTH INSURANCE POSITION: FINANCIAL REPRESENTATIVE. NATURE: INSURANCE. COMPENSATION TYPE: COMMISSION. INVESTMENT RELATED: NO NUMBER OF HOURS: 40 TRADING HOURS: 0 START DATE: 5/1/2024 ADDRESS: 177 E COLORADO BLVD, OFFICE 3055 PASADENA CA, UNITED STATES DESCRIPTION: LIFE INSURANCE SALES TO CUSTOMERS. 3-- DELANO RECREATION CENTER NOT INVESTMENT RELATED; RECREATION ASSISTANT; 35 HOURS PER MONTH AND 0 TRADING HOURS; 15100 ERWIN ST VAN NUYS CA 91411; DUTIES: PARKS & REC RELATED DUTIES. START: 12/11/2022

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-26
  • S66 Uniform Combined State Law Examination
    2024-09-26

View on SEC IAPD

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