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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 2025-08-14
  • CA RA
    APPROVED
    Since 2025-08-14

Branch Locations

Valencia, 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
One Bite Dumpling Newhall CA 07/2021 09/2021
Unemployed Valencia CA 01/2015 06/2021
Unemployed Valencia CA 10/2021 07/2025
Gwn Securities, Inc. Palm Beach Gardens FL 08/2025 Present
  • 07/2021 → 09/2021
    One Bite Dumpling
    Newhall, CA
  • 01/2015 → 06/2021
    Unemployed
    Valencia, CA
  • 10/2021 → 07/2025
    Unemployed
    Valencia, CA
  • 08/2025 → 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: 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: Registered Representative. NATURE: Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 100 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. 3-- Pension101 INVESTMENT RELATED: Is Not Investment Related, "457 W Allen Ave, Suite 110, , San Dimas, CA, 91773, United States", Pension education and lead generation system, user/rep, 9/22/2025, 4 hours per month, 0 hours per month during trading hours, Other Compensation DESCRIPTION: Representatives showing people how to use the platform

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-25
  • S66 Uniform Combined State Law Examination
    2025-06-25

View on SEC IAPD

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