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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 2022-02-07
SC RA APPROVED 2019-03-04
  • NY RA
    APPROVED
    Since 2022-02-07
  • SC RA
    APPROVED
    Since 2019-03-04

Branch Locations

Landrum, SC • United States

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

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

Williamsville, NY • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Gwn Securities Inc. Palm Beach Gardens FL 07/2004 Present
Other Businesses

GREAT LAKES FINANCIAL GROUP, INC POSITION: President. NATURE: Marketing company INVESTMENT RELATED: YES HOURS: 60 INVESTMENT RELATED HOURS: 0 START DATE: 01/05/2011 ADDRESS: 11 Flint Hill Ln. Landrum, SC 29356 DESCRIPTION: President. THE NORMAN A SCHOELL CHARITABLE FOUNDATION, INC POSITION: Director NATURE: foundation INVESTMENT RELATED: NO HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 06/15/2006 ADDRESS: 7 Corporate Center Court, Ste B, Greensboro, NC 27408 DESCRIPTION: Director. LIFE INSURANCE POSITION: Agent NATURE: LIFE INSURANCE, LONG TERM CARE INSURANCE, DISABILITY INSURANCE INVESTMENT RELATED: NO HOURS: 5 INVESTMENT RELATED HOURS: 0 START DATE: 07/01/1974 ADDRESS:11 Flint Hill Ln. Landrum, SC 29356 DESCRIPTION: Sales and service of life insurance. SECOR FAMILY ASSEMBLY Is Not Investment Related, Humanitarian Projects, Manager, 2022-03-01, 30 hours per month, 0 hours per month during trading hours, No Compensation Compensation, "As Manager of the organization, it will be my responsibility to review and approve projects brought to the group prior to funding and implementation." MUSICIAN POSITION: Musician NATURE: musician for hire INVESTMENT RELATED: NO HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 7/1/1970 ADDRESS:11 Flint Hill Ln. Landrum, SC 29356 DESCRIPTION: Play Bass Trombone in big bands.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-27
S63 Uniform Securities Agent State Law Examination 1980-03-22
  • S65 Uniform Investment Adviser Law Examination
    1995-04-27
  • S63 Uniform Securities Agent State Law Examination
    1980-03-22
Other Names
  • Fred Secor
  • A. Fred Secor Jr.
  • Fred Secor

View on SEC IAPD

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