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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
NY RA APPROVED 2026-06-11
  • NY RA
    APPROVED
    Since 2026-06-11

Branch Locations

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

4 Executive Park Drive, Albany, NY 12203 • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • 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
Unified Beerworks Malta NY 09/2024 Present
Druthers Brewing Co. Saratoga NY 05/2024 11/2024
Northeast Wealth Management Albany NY 01/2025 Present
Village Garage Distillery Bennington VT 02/2022 04/2024
Man Of Kent Tavern Hoosick Falls NY 04/2017 01/2022
Southwestern Vermont Medical Center Bennington VT 12/2020 11/2022
Hoosick Falls Country Club Hoosick Falls NY 04/2014 01/2017
New 2 You Consignment Hoosick Falls NY 09/2012 09/2018
Jbm Sherman Carmel Bennington VT 08/2015 04/2018
Gwn Securities Palm Beach Gardens FL 01/2025 Present
  • 09/2024 → Present
    Unified Beerworks
    Malta, NY
  • 05/2024 → 11/2024
    Druthers Brewing Co.
    Saratoga, NY
  • 01/2025 → Present
    Northeast Wealth Management
    Albany, NY
  • 02/2022 → 04/2024
    Village Garage Distillery
    Bennington, VT
  • 04/2017 → 01/2022
    Man Of Kent Tavern
    Hoosick Falls, NY
  • 12/2020 → 11/2022
    Southwestern Vermont Medical Center
    Bennington, VT
  • 04/2014 → 01/2017
    Hoosick Falls Country Club
    Hoosick Falls, NY
  • 09/2012 → 09/2018
    New 2 You Consignment
    Hoosick Falls, NY
  • 08/2015 → 04/2018
    Jbm Sherman Carmel
    Bennington, VT
  • 01/2025 → Present
    Gwn Securities
    Palm Beach Gardens, FL
Other Businesses

Northeast Wealth Management Is Not Investment Related, ADDRESS: "4 Executive Park Drive, , Albany, NY, 12203, United States", Life Insurance, Life Insurance Agent, 7/1/2025, 20 hours per month, 0 hours per month during trading hours, Commission Compensation, DESCRIPTION: Life insurance agent for customers of Northeast Wealth Management Business name: Carson's Woodside Tavern, Business Address: 57 NY-9p Malta, NY 12020, Position Held: Server/Bartender, Expected annual income: 25000, Compensation Type: Other, Hours Per Month: 80, Hours Per Month Trading: 0, Involvement status: ACTIVE, Start: 2026-04-06, Activity description: employee of carsons woodside tavern , Investment Related?: NO, Will this activity interfere with or compromise your responsibilities as a registered representative?: NO, Is there an expectation to solicit other ownership or raise capital? : NO, Is there a web presence? : NO, Is there check-writing, trading authority/custody or control?: NO, Please list all non-securities licenses and/or certifications/professional designations that may apply to this activity (i.e. insurance, CPA, ChFC, etc.): N/A

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-09
S63 Uniform Securities Agent State Law Examination 2025-11-05
  • S65 Uniform Investment Adviser Law Examination
    2026-06-09
  • S63 Uniform Securities Agent State Law Examination
    2025-11-05

View on SEC IAPD

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