James C Maloney

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2010 → Present
  Aflac
  Hauppauge, NY
• 01/2011 → Present
  Gwn Securities Inc.
  Palm Beach Gardens, FL

Other Businesses

AFLAC, NON INVESTMENT RELATED, 1300 VETERANS MEMORIAL HWY, HAUPPAUGE NY 11788, SUPPLIMENTAL BENEFITS, AGENT, 10/2010, 10 HRS, ENROLL CLIENTS TO SUPPLIMENTAL BENEFITS. THE MORTGAGE CAPITAL GROUP, NON INVESTMENT RELATED, MONTAUK HWY, BAYPORT NY 11705, LOAN OFFICER FOR MORTGAGE COMPANY, 12/2010, 10HRS. ARRANGE RESIDENTAIL MORTGAGE FINANCING FOR CLIENTS LIFE INSURANCE POSITION: AGENT NATURE: LIFE INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2013 ADDRESS: 1300 VETERANS MEMORIAL HIGHWAY, HAUPPAUGE NY 11788 DESCRIPTION: ARRANGE LIFE INSURANCE FOR CLIENTS RENTAL HOME POSITION: OWNER NATURE: BEING A LANDLORD INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 0 START DATE: 06/01/1999 ADDRESS: 28 E 24TH ST, HUNTINGTON STATION NY 11746 DESCRIPTION: FIX PROBLEMS WITH THE HOSUE AS THEY POP UP, LOOK FOR NEW TENANTS. HOME OWNERS ASSOCIATION POSITION: PRESIDENT NATURE: HOME OWNERS ASSOCIATION INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 1 START DATE: 03/01/2014 ADDRESS: SSBOA, NORTHPORT NY 11768 DESCRIPTION: AS THE PRESIDENT OF OUR HOME OWNERS ASSOCIATION I DELAGATE TASKS TO OTHER BOARD MEMEBERS AND ORCHESTRATE THE QUARTERLY MEETINGS. THESE MEETINGS ARE HELD IN THE EVENING OR ON WEEKENDS. BOARD OF EDUCATION POSITION: TRUSTEE NATURE: VOLUNTEER,COMMUNITY ORGANIZATION INVESTMENT RELATED: NO NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 5 START DATE: 07/02/2012 ADDRESS: LAUREL AVE, NORTHPORT NY 11768 DESCRIPTION: AS TRUSTEES WE SUPERVISE THE SUPERINTENDANT OF THE SCHOOL DISRTICT. SALMON LIMOUISINE POSITION: Driver NATURE: Driver of Limousine INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/25/2015 ADDRESS: 3 Gannet Ct, Commack NY 11725 DESCRIPTION: Driving people back and forth to the airport during non working hours THE MORTGAGE CAPITAL GROUP POSITION: Loan Officer NATURE: Residential Mortgage Financing INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/28/2017 ADDRESS: 982 Montauk Highway, Ste 3, Bayport NY 11705, United States DESCRIPTION: My job duties are to orginate purchase and refinance mortgage financing applications, collect the proper documentation and answer questions of the person in need of financing. SENIOR SERVICES OF NORTH AMERICA POSITION: Agent NATURE: Supply insurance to seniors INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/15/2018 ADDRESS: 25 Melville Park Dr, Melville NY 11747, United States DESCRIPTION: Help Seniors find suitable health coverage to compliment their medicare benefits. Educated and enroll seniors in health coverage CGAA, Inc., Is Investment Related, DBA, Financial Professional, 02/04/2011,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. CAMELOT LIMO INVESTMENT RELATED: Is Not Investment Related, ADDRESS: 31 Central Dr, , Farmingdale, NY, 11735, United States", NATURE: Transportation, POSITION: Driver, START DATE: 8/31/2024, NUMBER OF HOURS: 20 hours per month, SECURITIES TRADING HOURS: 0 hours per month during trading hours, DESCRIPTION: Per Job- Depends on Job done- could be hourly or could be flat fee

Exams

• S63 Uniform Securities Agent State Law Examination
  2011-02-04

Other Names

• James Maloney