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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

1870 Whitehaven Road, Grand Island, NY 14072 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwn Securities West Palm Beach FL 01/2007 Present
  • 01/2007 → Present
    Gwn Securities
    West Palm Beach, FL
Other Businesses

"INDEPENDENT INSURANCE AGENT(ING, JOHN HANCOCK)",Is Investment Related,"1870 Whitehaven Road, , Grand Island, NY, 14072, USA",Life and Variable Insurance Agent,Agent,2001-01-01,1 hours per month,1 hours per month during trading hours,Commission Compensation,Life and Variable Insurance Agent BUTTONWOOD MANAGEMENT POSITION: President NATURE: Buttonwood is a sub chapter S that is set up to manage my business expenses in a tax efficient manner. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2014 ADDRESS: 50 Spicer Creek Run, Grand Island NY 14072 DESCRIPTION: Once my commissions are direct deposited to my individual bank account. I deposit those monies to my Buttonwood checking account and then pay my business expenses and then myself. This on average takes about two to three hours per month. WHITE,WHITE & CICH FINANCIAL SERVICES DBA POSITION: Partner NATURE: DBA/Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/26/2007 ADDRESS: 1870 Whitehaven Road, , Grand Island, NY, 14072, USA DESCRIPTION: I meet with clients and potential clients in order to help them make investment decisions. However all Securities are offered through GWN Securities, Inc. FINRA/ SIPC. Palm Beach Gardens, FL 33418

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-11-09
  • S63 Uniform Securities Agent State Law Examination
    1983-11-09

View on SEC IAPD

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