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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
MI RA APPROVED 2010-02-01
  • MI RA
    APPROVED
    Since 2010-02-01

Branch Locations

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

148 E. Grand River Road #202, Williamston, MI 48895 • 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 04/2007 Present
Other Businesses

GOVERNMENTAL BENEFITS GROUP, INC.- 148 E. GRAND RIVER AVE. #202, WILLIAMSTON , MI 48895 OUR GWN LOCAL OFFICE IS GOVERNMENTAL BENEFITS GROUP. WE PROVIDE BENEFIT PROGRAMS TO GOVERNMENTAL AGENCIES. WHILE A GOOD PORTION OF OUR TIME IS DEVOTED TO INVESTMENTS, WE ALSO PROVIDE INSURANCE PRODUCTS AS WELL. I HAVE BEEN WITH GBG SINCE 1987. ERICKSON SERVOCES NOT INVESTMENT RELATED; SPOUSE OF THE OWNER; 0 HR PER MONTH AND 0 DURING TRADING HOURS; START DATE: 04/01/2017: ADDRESS: 4426 CONGDON DRIVE WILLIAMSTON MI 48895; NATURE: LCC that was established for my wife's various business activities in order to do tax withholding. She is the only compensated person. BUSINESS DESCRIPTION: My only duty was I paid the state registration.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-01
S63 Uniform Securities Agent State Law Examination 1990-10-09
  • S65 Uniform Investment Adviser Law Examination
    2008-02-01
  • S63 Uniform Securities Agent State Law Examination
    1990-10-09

View on SEC IAPD

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