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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 2018-05-07
  • NJ RA
    APPROVED
    Since 2018-05-07

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

1011 Route 22 Suite 104, Bridgewater, NJ 08807 • 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
Metropolitan Life Insurance Co. Piscataway NJ 11/2013 Present
Metlife Securities Inc. Piscataway NJ 11/2013 Present
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 Present
Mml Investors Services, Llc Iselin NJ 03/2017 05/2018
Gwn Securities, Inc. Palm Beach Gardens FL 05/2018 Present
  • 11/2013 → Present
    Metropolitan Life Insurance Co.
    Piscataway, NJ
  • 11/2013 → Present
    Metlife Securities Inc.
    Piscataway, NJ
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 05/2018
    Iselin, NJ
  • 05/2018 → Present
    Palm Beach Gardens, FL
Previous Registrations
  • 2017-03-25 → 2018-05-07
    Iselin, NJ
  • 2014-03-05 → 2017-03-25
    Msi Financial Services, Inc.
    Piscataway, NJ
    Iselin, NJ
  • 2009-06-01 → 2013-10-30
    Westfield, NJ
  • 2007-11-16 → 2009-06-01
    Westfield, NJ
  • 2007-04-02 → 2007-11-21
    Morgan Stanley & Co. Llc
    Short Hills, NJ
  • 2004-02-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Westfield, NJ
    Short Hills, NJ
Other Businesses

EAGLE ROCK RAQUET CLUB Is Not Investment Related, "Delancey Road, Hubbartdon, VT, 05735, USA" , 2 tennis courts in Hubbardton , VT, President, 2019-09-01, 15 hours per month, 0 hours per month during trading hours, No Compensation, "The duties of the President are to call to order the annual meeting which is held on a weekend. At the meeting we discuss court maintenance, dues, and issues that might have arisen. I am responsible for the putting up of the nets Memorial Day weekend and taking them down some weekend in September." WESTFIELD TENNIS CLUB Is Not Investment Related, "139 North Chestnut St, , Westfield, NJ, 07090, USA", NATURE: Tennis Club, POSITION: President, START DATE: 2015-01-01, HOURS PER MONTH: 7 hours per month, SECURITIES TRADING HOURS: 0 hours per month during trading hours, DESCRIPTION: President of Tennis Club INSURANCE AGENT Is Not Investment Related, Insurance Sales,Agent,2001-01-01,1 hours per month,1 hours per month during trading hours, Selling and servicing life insurance ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2018-05-08,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Advisory Sales.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-11-10
S63 Uniform Securities Agent State Law Examination 1988-03-25
  • S65 Uniform Investment Adviser Law Examination
    2003-11-10
  • S63 Uniform Securities Agent State Law Examination
    1988-03-25
Other Names
  • Mary Earl
  • Mary Syrokwash
  • Mary Syrokwash Earl

View on SEC IAPD

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