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Current Employers
Gwn Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-01-05
  • FL RA
    APPROVED
    Since 2021-01-05

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

1350 Market St. #224, Tallahassee, FL 32312 • United States

1011 Route 22 Suite 104, Bridgewater, NJ 08807 • 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
Metlife Securities Inc. Tallahassee FL 07/1998 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 Present
Mml Investors Services, Llc Tallahassee FL 03/2017 01/2021
Gwn Securities, Inc. Palm Beach Gardens FL 01/2021 Present
  • 07/1998 → 03/2017
    Metlife Securities Inc.
    Tallahassee, FL
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 01/2021
    Tallahassee, FL
  • 01/2021 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2017-03-25 → 2021-01-07
    Tallahassee, FL
  • 2007-01-05 → 2017-03-25
    Msi Financial Services, Inc.
    Tallahassee, FL
    Tallahassee, FL
    Tallahassee, FL
    Tallahassee, FL
    Orlando, FL
    Tallahassee, FL
Other Businesses

1 -- RENTAL POSITION: owner NATURE: rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2016 ADDRESS: 872 Gibson Sawmill Road, Havana FL 32333, United States DESCRIPTION: occasionally yard work 2 -- ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2020-12-28,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Advisory Sales. Life Insurance sales- Term, Whole life, universal -agent capacity 3 -- EXTRA POINT CLUB, Is Not Investment Related, Support FSU Athletics, Committee Chair Fundraising, START DATE: 5/10/2024, 2 hours per month,0 hours per month during trading hours, No Compensation Compensation, Organize bake sales and garage sales and sell items donated to club 4-- SUSAN FRISTOE FINANCIAL, LLC; NOT INSVESTMENT RELATED; OWNER; 0HOURS PER MONTH; O HOURS TRADING; ADDRESS; 1350 MARKET STREET SUITE 224 TALLAHASSEE, FL 32312; BUSINESS DISCRIPTION: EMPLOYEES PAYROLL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-22
S63 Uniform Securities Agent State Law Examination 1993-04-05
  • S65 Uniform Investment Adviser Law Examination
    2006-12-22
  • S63 Uniform Securities Agent State Law Examination
    1993-04-05
Other Names
  • Susan Doxsee

View on SEC IAPD

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