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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 2025-11-01
  • CA RA
    APPROVED
    Since 2025-11-01

Branch Locations

Fullerton, CA • 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 • 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
Unemployed Fullerton CA 06/2024 08/2025
Gigabyte City Of Industry CA 12/2022 06/2024
Gigabyte City Of Industry CA 06/2022 12/2022
California State University, Fullerton Fullerton CA 01/2023 05/2023
California State University, Fullerton Fullerton CA 01/2021 12/2022
Mt. San Antonio College Walnut CA 08/2018 12/2020
Gwn Securities, Inc. Palm Beach Gardens FL 08/2025 Present
Unemployed Fontana CA 06/2018 07/2018
Nevada High School Nevada MO 08/2015 05/2018
Sonic Drive-In Nevada MO 06/2016 09/2017
  • 06/2024 → 08/2025
    Unemployed
    Fullerton, CA
  • 12/2022 → 06/2024
    Gigabyte
    City Of Industry, CA
  • 06/2022 → 12/2022
    Gigabyte
    City Of Industry, CA
  • 01/2023 → 05/2023
    California State University, Fullerton
    Fullerton, CA
  • 01/2021 → 12/2022
    California State University, Fullerton
    Fullerton, CA
  • 08/2018 → 12/2020
    Mt. San Antonio College
    Walnut, CA
  • 08/2025 → Present
    Palm Beach Gardens, FL
  • 06/2018 → 07/2018
    Unemployed
    Fontana, CA
  • 08/2015 → 05/2018
    Nevada High School
    Nevada, MO
  • 06/2016 → 09/2017
    Sonic Drive-In
    Nevada, MO
Other Businesses

1-- LA PENSION PLANNERS POSITION: Financial Representative NATURE: DBA/Financial Services. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 8/1/2025 ADDRESS: 177 E Colorado Blvd, Suite 200, 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: 40 TRADING HOURS: 0 START DATE: 8/1/2025 ADDRESS: 177 E Colorado Blvd, Suite 200, Pasadena CA, United States DESCRIPTION: Life Insurance sales to customers.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-12
  • S66 Uniform Combined State Law Examination
    2025-06-12

View on SEC IAPD

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