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Current Employers
Gwn Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2004-11-04
  • CA RA
    APPROVED
    Since 2004-11-04

Branch Locations

9841 Irvine Center Drive Suite 150, Irvine, CA 92618 • United States

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

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

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 Palm Beach Gardens FL 11/2004 Present
Retirement Plans Services Inc Laguna Niguel CA 03/2010 Present
  • 11/2004 → Present
    Gwn Securities
    Palm Beach Gardens, FL
  • 03/2010 → Present
    Retirement Plans Services Inc
    Laguna Niguel, CA
Previous Registrations
  • 2002-01-24 → 2004-11-05
    Pmg Asset Management Inc
    Orange, CA
Other Businesses

CPS INSURANCE SERVICES POSITION: AGENT NATURE: SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 10/03/2011 ADDRESS: 18551 VAN KARMAN #150, IRVINE CA 92612 DESCRIPTION: INSUARANCE AGENT - LIFE, HEALTH, FIXED RETIREMENT PLANS SERVICES INC POSITION: PRESIDENT NATURE: FINANNCIAL PLANNING INVESTMENT RELATED: YES NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 03/18/2010 ADDRESS: 27396 HYATT CT, LAGUNA NIGUEL CA 92677 DESCRIPTION: JUST INCORPORATION WEST COAST TEAM REALTY POSITION: SALESPERSON NATURE: REAL ESTATE INVESTMENT RELATED: NO NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2015 ADDRESS: 27595 NIGUEL VILLAGE DR, LAGUNA NIGUEL CA 92677 DESCRIPTION: REAL ESTATE SALESPERSON BUYING AND SELLING PROPERTIES FOR COMMISSION INDEPENDENCE HOME LOANS POSITION: MORTGAGE LOAN OFFICER NATURE: HELPYING CLIENTS OPTAIN LOANS FOR HOME PURCHASE INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: 27595 NIGUEL VILLAGE DRIVE, LAGUNA NIGUEL CA 92677 DESCRIPTION: MORTGAGE LOAN ORIGINATOR EDUCATORS RETIREMENT SOLUTIONS, Is Investment Related, DBA, Financial Professional 11/04/2004,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-10-15
S63 Uniform Securities Agent State Law Examination 1996-02-05
  • S65 Uniform Investment Adviser Law Examination
    2015-10-15
  • S63 Uniform Securities Agent State Law Examination
    1996-02-05

View on SEC IAPD

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