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Gwn Securities Inc. CRD 128929
$4.75B regulatory AUM 54 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-02-01 |
Branch Locations
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States
714 West Bay Ave. Suite 1, Barnegat, NJ 08005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hd Vest Investment Services | Barnegat | NJ | 01/2016 | 01/2019 |
| Hd Vest Advisory Services | Barnegat | NJ | 01/2016 | 01/2019 |
| Hd Vest Insurance Agency | Irving | TX | 01/2016 | 01/2019 |
| Lincoln Heritage Life | Phoenix | AZ | 12/2015 | 12/2016 |
| H D Vest Insurance Agency Inc | Irving | TX | 02/2016 | 01/2019 |
| Gwn Securities, Inc. | Palm Beach Gardens | FL | 01/2019 | Present |
INSURANCE SALES- LIF, HEALTH, AND ANNUITIES POSITION: agent NATURE: Selling and servicing life insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2019 ADDRESS: 250 Washington St, Ste. A, Toms River NJ 08753, United States DESCRIPTION: Selling and servicing life insurance. MADSION BROKERAGE POSITION: sales NATURE: Life, health and long term care insurance products, not investment related INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/10/2019 ADDRESS: 65 Madison Ave, # 200, Morristown NJ 07960, United States DESCRIPTION: Sales and service of Life, disability and long term care insurance products to clients who have a need for yhem. PATRIOT FINANCIAL GROUP, Is Investment Related, DBA, Financial Professional 01/24/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-12 |
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