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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
OH RA APPROVED 2014-08-15
  • OH RA
    APPROVED
    Since 2014-08-15

Branch Locations

Akron, OH • 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

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 08/2014 Present
Previous Registrations
  • 2011-04-20 → 2014-08-15
    Legend Advisory, Llc
    Akron, OH
    Palm Beach Gardens, FL
Other Businesses

THE TYRONE PAUL GRADY MEMORIAL FOUNDATION POSITION: Board member NATURE: To help bereaved families. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/07/1999 ADDRESS: 1091 Everbright Dr., Uniontown OH 44685 DESCRIPTION: I serve on the board of this foundation with my daughter and a lawyer friend. We give money to families who have children who have died. We also prvide scholarship money to kids who go on to higher education opportunities. LIFE, HEALTH INSURANCE, AND ANNUITIES POSITION: Financial Advisor NATURE: selling life, health insurance, and annuities INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/04/1992 ADDRESS: 316 Prairie Dr., Akron OH 44312 DESCRIPTION:selling life, health insurance, and annuities

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-12-02
  • S63 Uniform Securities Agent State Law Examination
    1992-12-02

View on SEC IAPD

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