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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
NJ RA APPROVED 2019-02-01
  • NJ RA
    APPROVED
    Since 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

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
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
  • 01/2016 → 01/2019
    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
  • 12/2015 → 12/2016
    Lincoln Heritage Life
    Phoenix, AZ
  • 02/2016 → 01/2019
    H D Vest Insurance Agency Inc
    Irving, TX
  • 01/2019 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2016-01-13 → 2019-02-01
    Avantax Advisory Services
    Toms River, NJ
  • 2013-03-04 → 2016-01-14
    Brick, NJ
    Forked River, NJ
    Brick, NJ
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-12
S63 Uniform Securities Agent State Law Examination 2009-12-12
  • S65 Uniform Investment Adviser Law Examination
    2013-02-12
  • S63 Uniform Securities Agent State Law Examination
    2009-12-12
Designations
  • Certified Financial Planner

View on SEC IAPD

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