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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
NJ RA APPROVED 2017-09-06
  • NJ RA
    APPROVED
    Since 2017-09-06

Branch Locations

1011 Route 22 Suite 104, Bridgewater, NJ 08807 • United States

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

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • 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
Metlife Securities Inc Paramus NJ 05/2014 08/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 08/2017
Mml Investors Services, Llc Paramus NJ 03/2017 08/2017
Gwn Securities, Inc. Palm Beach Gardens FL 08/2017 Present
  • 05/2014 → 08/2017
    Metlife Securities Inc
    Paramus, NJ
  • 07/2016 → 08/2017
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 08/2017
    Paramus, NJ
  • 08/2017 → Present
    Palm Beach Gardens, FL
Previous Registrations
Other Businesses

Independent insurance agent - from business address - 2 sec hours 2 non sec hours - selling Property & Casualty through Aegis Risk Solutions Group LLC - since 7/2016 ABMM Financial INVESTMENT RELATED: Is Investment Related ADDRESS: "517 Route 1 South, Suite 4100, Iselin, NJ, 08830, United States" NATURE: DBA, POSITION: Financial Professional,START DATE: 2017-09-01, HOURS PER MONTH: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours DESCRIPTION: Securities DBA used in conjunction with investment sales.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-20
S63 Uniform Securities Agent State Law Examination 1994-07-21
  • S66 Uniform Combined State Law Examination
    2014-11-20
  • S63 Uniform Securities Agent State Law Examination
    1994-07-21

View on SEC IAPD

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