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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
MI RA APPROVED 2022-03-01
  • MI RA
    APPROVED
    Since 2022-03-01

Branch Locations

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

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

280 North Old Woodward Suite 100, Birmingham, MI 48009 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Centaurus Financial, Inc. Anaheim CA 07/2010 06/2019
Minnesota Life Insurance Company St. Paul MN 06/2019 02/2022
Securian Financial Services Inc St. Paul MN 06/2019 02/2022
Wealth Strategies Financial Group Southfield MI 06/2019 02/2022
Gwn Securities, Inc. Palm Beach Gardens FL 02/2022 Present
Old Woodward Wealth Management Birmingham MI 02/2022 Present
  • 07/2010 → 06/2019
    Anaheim, CA
  • 06/2019 → 02/2022
    Minnesota Life Insurance Company
    St. Paul, MN
  • 06/2019 → 02/2022
    Securian Financial Services Inc
    St. Paul, MN
  • 06/2019 → 02/2022
    Wealth Strategies Financial Group
    Southfield, MI
  • 02/2022 → Present
    Palm Beach Gardens, FL
  • 02/2022 → Present
    Old Woodward Wealth Management
    Birmingham, MI
Previous Registrations
Other Businesses

WSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2019 ADDRESS: , Southfield MI , United States DESCRIPTION: Agent/Broker OLD WOODWARD WEALTH MANAGEMENT POSITION: President/Wealth Manager NATURE: Insurance Sales/DBA Is Investment Related START DATE: 2023-06-28 NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 ADDRESS: 280 N. Old Woodward Suite 100, Suite 100, Birmingham, MI, 48009, United States DESCRIPTION: Independent Insurance Agent Greater Oakland Republican Party,Is Not Investment Related,,"GOGOP seeks to provide political, economic, and intellectual support of our political representatives through networking, awareness, outreach and fund",None,2023-06-07,1 hours per month,0 hours per month during trading hours,Commission Compensation,None

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-24
  • S66 Uniform Combined State Law Examination
    2008-10-24

View on SEC IAPD

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