Charles Richard Locher

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → Present
  Minnesota Life Insurance Co
  St. Paul, MN
• 10/2009 → Present
  Legacy Planning Partners
  Doylestown, PA
• 07/2011 → Present
  Gwn Securities Inc
  Palm Beach Gardens, FL

Previous Registrations

• 2008-11-26 → 2009-05-14
  Hornor, Townsend & Kent, Llc
  Conshohocken, PA
• 2008-02-06 → 2008-10-31
  Woodbury Financial Services, Inc.
  Wayne, PA
  Oakdale, MN
  Wayne, PA

Other Businesses

GROUP HEALTH INSURANCE POSITION: SALES NATURE: INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 10 START DATE: 10/03/2011 ADDRESS: 3162 PHOENIXVILLE PIKE, MALVERN PA 19355 DESCRIPTION: SOLICITING SMALL GROUP BUSINESSES FOR GROUP HEALTH PLANS LIFE INSURANCE POSITION: AGENT NATURE: BROKERAGE INVESTMENT RELATED: NO NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 15 START DATE: 02/06/2009 ADDRESS: 239 LENOIR AVENUE, WAYNE PA 19087 DESCRIPTION: AS PART OF A FINANCIAL PLAN, MY DISCOVERY LEADS TO QUESTIONS ABOUT INSURANCE COVERAGE.??, IF NEEDED, I WILL REQUEST ILLUSTRATIONS FROM OUR BROKERAGE, PRESENT THEM TO CLIENTS, AND TAKE/SUBMIT APPLICATIONS AS WARRANTED. ASSURITY LIFE INSURANCE POSITION: INSURANCE AGENT NATURE: PRODUCT NAME: REVERSIONARY ANNUITY. IT WILL BE USED TO SELL LIFE INSURANCE TO CURRENT CLIENTS FOR POTENTIAL INCOME NEEDS IN THEIR FUTURE. INVESTMENT RELATED: NO NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2015 ADDRESS: 2000 Q ST., LINCOLN NE 68503 DESCRIPTION: IN ORDER TO PROTECT THEIR FUTURE INCOME NEEDS, LIFE INSURANCE IS A POSSIBLE SOLUTION. KADES MARGOLIS, Is Investment Related, DBA, Financial Professional, 08/17/2011,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S66 Uniform Combined State Law Examination
  2008-01-25
• S63 Uniform Securities Agent State Law Examination
  1986-02-14

Other Names

• Rich Locher
• Richard Locher