Randall Leigh Hartzel

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

Authority	Category	Status	Date
PA	RA	APPROVED	2007-01-11

PA RA
APPROVED

Since 2007-01-11

Branch Locations

Maple Glen, PA • United States

940 West Valley Road Suite 1200, Wayne, PA 19087 • 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

Organization	City	State	From	To
Gwn Securities Inc	Palm Beach Gardens	FL	02/2004	Present

02/2004 → Present

Gwn Securities Inc

Palm Beach Gardens, FL

Other Businesses

INSURANCE BUSINESS POSITION: REPRESENTATIVE NATURE: LTCARE AND FIXED ANNUITY SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 5 START DATE: 09/01/2009 ADDRESS: 1841 HOOD LANE, MAPLE GLEN PA 19002 DESCRIPTION: I SOLICIT SALE OF LT CARE INSURANCE AND FIXED ANNUITY BUSINESS TO CLIENTS. KADES MARGOLIS INVESTMENT RELATED: Is Investment Related, NATURE: Financial Services, POSITION: Financial Professional, START DATE: 2007-02-09, HOURS PER MONTH: 160 hours per month, SECURITIES TRADIN HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation DESCRIPTION: DBA related to investment sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-01-04
S63	Uniform Securities Agent State Law Examination	1995-01-23

S65 Uniform Investment Adviser Law Examination

2007-01-04
S63 Uniform Securities Agent State Law Examination

1995-01-23

Other Names

Randy Hartzel

View on SEC IAPD