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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 2025-06-26
  • CA RA
    APPROVED
    Since 2025-06-26

Branch Locations

Lake Forest, CA • United States

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

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

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
Gwn Securities, Inc. Palm Beach Gardens FL 06/2025 Present
Urban Arena Costa Mesa CA 09/2024 03/2025
University Of California, Santa Barbara Santa Barbara CA 09/2020 06/2024
Panda Restaurant Group, Inc. Goleta CA 05/2022 07/2022
The Home Depot, Inc. Lake Forest CA 11/2020 03/2021
El Toro High School Lake Forest CA 09/2016 06/2020
Pump It Up Lake Forest CA 07/2019 03/2020
Serrano Intermediate School Lake Forest CA 09/2014 06/2016
  • 06/2025 → Present
    Palm Beach Gardens, FL
  • 09/2024 → 03/2025
    Urban Arena
    Costa Mesa, CA
  • 09/2020 → 06/2024
    University Of California, Santa Barbara
    Santa Barbara, CA
  • 05/2022 → 07/2022
    Panda Restaurant Group, Inc.
    Goleta, CA
  • 11/2020 → 03/2021
    The Home Depot, Inc.
    Lake Forest, CA
  • 09/2016 → 06/2020
    El Toro High School
    Lake Forest, CA
  • 07/2019 → 03/2020
    Pump It Up
    Lake Forest, CA
  • 09/2014 → 06/2016
    Serrano Intermediate School
    Lake Forest, CA
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: 5/28/2025 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: DBA for Securities Business / Financial Services 2-- LIFE & HEALTH INSURANCE POSITION: Financial Representative. NATURE: Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 120 TRADING HOURS: 0 START DATE: 5/28/2025 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: Life Insurance sales to customers.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-24
  • S66 Uniform Combined State Law Examination
    2025-05-24

View on SEC IAPD

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