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Current Employers
Djpuff Advisors Group, Inc.

202 Kasson Road, Camillus, NY 13031 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-02-14
  • NY RA
    APPROVED
    Since 2023-02-14

Branch Locations

202 Kasson Road, Camillus, NY 13031 • United States

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

202 Kasson Rd, Camillus, NY 13031 • United States

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

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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwn Securities Inc Palm Beach Gardens FL 04/2004 Present
Djpuff Advisors Group, Inc. Camillus NY 06/2006 Present
Other Businesses

INSURANCE BUSINESS POSITION: GENERAL AGENT/SOLE PROPRIETOR NATURE: INSURANCE SALES INVESTMENT RELATED: YES HOURS: 10 INVESTMENT RELATED HOURS: 10 START DATE: 08/12/2011 ADDRESS: 5099 W. GENESEE ST, CAMILLUS NY 13031 DESCRIPTION: LIFE INSURANCE, HEALTH INSURANCE, LONG TERM CARE INSURANCE, AND FIXED ANNUITY SALES. D J PUFF ADVISOR'S GROUP POSITION: Operations Manager NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 154 SECURITIES TRADING HOURS: 154 START DATE: 07/25/2025 ADDRESS: 202 kasson rd, PO Box 9, Camillus NY 13031, United States DESCRIPTION: DBA, Business Administration, Office Management, Customer Service, New Business Processing

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-18
S63 Uniform Securities Agent State Law Examination 1989-10-06
  • S65 Uniform Investment Adviser Law Examination
    1996-03-18
  • S63 Uniform Securities Agent State Law Examination
    1989-10-06

View on SEC IAPD

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