Rodger Thomas Guerra

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2005 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 10/2016 → 07/2018
  Cetera Advisors Llc
  Denver, CO
• 03/2005 → 07/2018
  Bridge Marketing Group Llc
  Marlton, NJ
• 03/2014 → 07/2018
  Guerra Financial Services
  Marlton, NJ
• 07/2018 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2016-10-03 → 2018-07-21
  Cetera Advisors Llc
  Marlton, NJ
• 2008-07-24 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Lynnfield, MA
  Marlton, NJ
  Lynnfield, MA
  Greenville, SC
  Marlton, NJ
  Lynnfield, MA
  Lynnfield, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/05/2016; APX NUMBER OF HOURS PER WEEK: 18 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2018-07-13,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Advisory Sales 3. NAME OF OTHER BUSINESS: IAABO Camden Board 34 INVESTMENT RELATED: NO; ADDRESS: 9 Schmidts Place, Secaucus, NJ 07094 NATURE OF BUSINESS: BASKETBALL; START DATE: 10/1/2024 POSITION/TITLE/RELATIONSHIP: Basketball Referee NUMBER OF HOURS PER WEEK: 24 NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Referee basketball games in Burlington and Camden County NJ at the JV High school level and lower. Compensation is based on a per game basis. Number of games will be based on how many I choose to schedule. Training/certification will begin in October 2024

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-07-22
• S63 Uniform Securities Agent State Law Examination
  2000-10-03