Wayne Martin Cook

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

• 01/2014 → 01/2019
  Northwestern Mutual Investment Services Llc
  Albany, NY
• 01/2019 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 01/2019 → 12/2022
  Equitable Advisors, Llc
  New York, NY
• 01/2023 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2019-08-23 → 2022-12-09
  Equitable Advisors, Llc
  Malta, NY

Other Businesses

V. Mathis Insurance Services and Risk Advisors, LLC. POSITION: Insurance Agent NATURE: Property and Casualty Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 18 Computer Dr. W. Ste 103 Albany NY 12205 United States DESCRIPTION: I have always incorporated in my fact finders to inquire about individuals assets and different insurance coverages as part of holistic financial planning. I would typically work with my client to shop around and see if another, for example, auto policy without a reduction of benefit would be cheaper. As I plan to add my PnC license with V. Mathis Insurance Services and Risk Advisors, LLC., I will be able to easily work with agent's their to complete and service this side of business. LIFE & HEALTH POSITION: Insurance Agent NATURE: LAH and annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2014 ADDRESS: 4698 Consaul Rd Amsterdam NY 12010 United States DESCRIPTION: As part of my financial practice, I will intend on becoming appointed with different carriers or finding an IMO to continue appropriate insurance recommendations Rental Real Estate Income: POSITION: Home Owner/Landlord NATURE: Rented Bedrooms Upstairs INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 4698 Consaul Rd Amsterdam NY 12010 United States DESCRIPTION: Personal residence single family home of mine has with 5 bedrooms. Several friends plan on renting the upstairs bedrooms come January 2023. CLEAR SUMMIT WEALTH MANAGAMENT Is Not Investment Related, Doing Business As, Doing Business As Name, 2023-01-03, 160 hours per month, 130 hours per month during trading hours, Other Compensation, this is the DBA being utilized with my financial practice through GWN Securities. CONTENT CREATOR Is Not Investment Related, "4698 Consaul Rd, Amsterdam, NY, 12010, United States", Audio/Video, Creator, 5/29/2024, 64 hours per month, 0 hours per month during trading hours, Other Compensation, Non-securities content creator outside of trading hours. Subscription and ad revenue form content.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-08-22
• S63 Uniform Securities Agent State Law Examination
  2016-06-27

Other Names

• Wayne M Cook
• Wayne M Cook
• Wayne Martin Cook
• Wayne Martin Cook