Douglas Keith Hervey

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

• 07/1991 → Present
  Connecticut Mutual Life Ins. Co.
  Pittsburgh, PA
• 05/2009 → Present
  Gwn Securities Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2007-01-12 → 2009-05-11
  Gwn Securities Inc.
  Allison Park, PA
  Wayne, PA
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Gibsonia, PA
  Palm Beach Gardens, FL

Other Businesses

COBURN INSURANCE FOR LTC AND DI POLICIES. ISN NETWORK - INSURANCE BROKERAGE FIRM POSITION: BROKER FOR FIRM NATURE: INSURANCE BROKERAGE FIRM INVESTMENT RELATED: YES NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 06/30/2008 ADDRESS: ISN NETWORK, 1525 FARADAY AVE SUIT 140, CARLSBAD CA 92008 DESCRIPTION: KADES MARGOLIS REQUESTED THAT ALL REPRESENTATIVES CONTRACTED WITH KADES-MARGOLIS CORP START PLACING ALL LIFE, LONG TERM CARE, AND FIXED AND INDEX ANNUITIES THROUGH THIS INSURANCE BROKERAGE FIRM LOCTED IN SOUTHER CALIFORNIA  SEVERAL YEARS AGO. KADES MARGOLIS, Is Investment Related, DBA, Financial Professional, 03/22/2004,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-06-02
• S66 Uniform Combined State Law Examination
  2007-01-05

Other Names

• Doug Hervey