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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
NY RA APPROVED 2021-03-31
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

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

1300 Veterans Highway Suite 210, Hauppauge, NY 11788 • United States

Disclosures

1 disclosure category 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mass Mutual Life Insurance Company Syosset NY 04/2014 Present
Mml Investors Services Syosset NY 10/2014 Present
Gwn Securities, Inc Palm Beach Gardens FL 11/2015 Present
  • 04/2014 → Present
    Mass Mutual Life Insurance Company
    Syosset, NY
  • 10/2014 → Present
    Mml Investors Services
    Syosset, NY
  • 11/2015 → Present
    Palm Beach Gardens, FL
Other Businesses

NAME: FINANCIAL SERVICES INV REL: Y ADD: 24 SYCORA LN ISLANDIA NY 11749 NATURE: INDIVIDUAL LIFE POSITION: AGENT. START DATE: 01/01/2015 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0. EGM FINANCIALS POSITION: INDEPENDENT INURANCE AGENT NATURE: INSURANCE SALES INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 08/20/2014 ADDRESS: 24 SYCORA LANE, ISLANDIA NY 11749 DESCRIPTION: OFFER LIFE INSURANCE, ANNUITIES CGAA, Inc., Is Investment Related, DBA, Financial Professional, 11/11/2015,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-06-10
  • S63 Uniform Securities Agent State Law Examination
    2011-06-10

View on SEC IAPD

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