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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
SC RA APPROVED 2010-08-04
  • SC RA
    APPROVED
    Since 2010-08-04

Branch Locations

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

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

Blythwood, SC • 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 08/2010 Present
Previous Registrations
  • 2006-12-20 → 2010-08-04
    Cincinnati, OH
    Blythewood, SC
    Cincinnati, OH
  • 2005-04-05 → 2006-12-05
    Stuart Investment Advisory Corp.
    Norcross, GA
  • 2004-04-19 → 2004-08-17
    Stuart Investment Advisory Corp.
    Blythewood, SC
Other Businesses

LAWS FINANCIAL INC., Is Investment Related, DBA, Insurance Sales, Financial Professional, Insurance Agent, 08/02/2010,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Insurance and Investment Sales. LIFE INSURANCE, FIXED AND EQUITY INDEXED ANNUITY, HEALTH INSURANCE, LTC INSURANCE BLYTHEWOOD HIGH SCHOOL EDUCATION FOUNATION INVESTMENT RELATED: Is Not Investment Related, ADDRESS: "10901 Wilson Blvd., Blythewood, SC, 29016, United States", Manage Receipts & distributions of Scholarships, Treasurer, 6/24/2025, 8 hours per month, 0 hours per month during trading hours, No Compensation DESCRIPTION: Maintain financial records of funds donated & dispersed from the Education Foundation account. Write checks for approved disbursements & deposit donations into the bank account.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-23
S63 Uniform Securities Agent State Law Examination 1992-05-14
  • S65 Uniform Investment Adviser Law Examination
    1999-04-23
  • S63 Uniform Securities Agent State Law Examination
    1992-05-14

View on SEC IAPD

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