Kathleen Wuerth Sonnabend

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
NY	RA	APPROVED	2021-03-31

NY RA
APPROVED

Since 2021-03-31

Branch Locations

Saratoga Springs, NY • 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

Organization	City	State	From	To
Gwn Securities	Palm Beach Gardens	FL	01/2005	Present

01/2005 → Present

Gwn Securities

Palm Beach Gardens, FL

Other Businesses

TRADITIONAL INSURANCE PRODUCTS POSITION: INDEPENDENT INSURANCE AGENT NATURE: TRADITIONAL LIFE INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 40 INVESTMENT RELATED HOURS: 40 START DATE: 04/01/1996 ADDRESS: 268 BROADWAY, UNIT 505 SARATOGA SPRINGS, NY 112866 DESCRIPTION: SALES AND SERVICING OF TRADITIONAL LIFE INSURANCE PRODUCTS THROUGH GENERAL AGENCIES: TERM & UL LIFE LTC FIXED AND IMMEDIATE ANNUITIES DISABILITY GROUP LIFE AND DISABILITY THE SONNABEND AGENCY,Is Investment Related,,DBA/Financial Services,Registered Rep,2005-01-01,160 hours per month,160 hours per month during trading hours,Commission Compensation,DBA/Financial Services

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-08
S63	Uniform Securities Agent State Law Examination	1996-02-01

S65 Uniform Investment Adviser Law Examination

1999-07-08
S63 Uniform Securities Agent State Law Examination

1996-02-01

Other Names

Kathleen Sonnabend

View on SEC IAPD