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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
MI RA APPROVED 2019-02-01
  • MI RA
    APPROVED
    Since 2019-02-01

Branch Locations

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

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

Grosse Pointe Woods, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Legend Equities Corporation Palm Beach Gardens FL 01/2011 02/2019
Lincoln Investment Royal Oak MI 01/2017 02/2019
Gwn Securities, Inc. Palm Beach Gardens FL 02/2019 Present
Previous Registrations
  • 2017-07-20 → 2019-02-11
    Royal Oak, MI
  • 2011-01-21 → 2019-02-11
    Legend Advisory, Llc
    Berkley, MI
    Palm Beach Gardens, FL
    Royal Oak, MI
  • 2010-09-23 → 2011-01-14
    Freedom One Investment Advisors, Inc.
    Clarkston, MI
  • 2010-05-26 → 2010-09-13
    Novi, MI
Other Businesses

LIFE INSURANCE LAKESHORE WEALTH MANAGEMENT POSITION: Rep NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2019 ADDRESS: 898 Canterbury Rd, Grosse Pointe Woods MI 48236, United States DESCRIPTION: Examine clients insurance needs. Submit for quotes. Deliver quotes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-04-16
S63 Uniform Securities Agent State Law Examination 2006-08-30
  • S65 Uniform Investment Adviser Law Examination
    2010-04-16
  • S63 Uniform Securities Agent State Law Examination
    2006-08-30
Other Names
  • Tim Madigan

View on SEC IAPD

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