GWN SECURITIES INC.
Adviser information for GWN SECURITIES INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 755 |
|---|---|
| Investment Advisory/Research | 455 |
| Registered Broker-Dealer Representatives | 755 |
| Registered State Investment Advisers | 455 |
| Licensed Agents of an Insurance Company | 755 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 62,656 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 62,656 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 32,605 | $2.8B |
| HNW Individuals | 1,216 | $315.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 67 | $11.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 88 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Market timing services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesIN LIEU OF HOURLY FEE, IA CAN CHARGE A FLAT FEE |
| Other Business Activities | Broker-dealer |
Principal Office
11440 NORTH JOG ROADPALM BEACH GARDENS
FL
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 561-472-2700, Fax: 561-472-2760
Chief Compliance Officer
LAURA J BORNHEIMER
VICE PRESIDENT
11440 NORTH JOG ROAD
PALM BEACH GARDENS
FL
United States
Tel:
561-472-2700
Fax:
561-472-2760
L**********@****************M
(Full email address available in API data)
Regulatory Contact
ROBERT LAYTON
ASSISTANT CHIEF COMPLIANCE OFFICER
11440 NORTH JOG ROAD
PALM BEACH GARDENS
FL
United States
Tel:
561-472-2700
Fax:
561-472-2760
R******@****************M
(Full email address available in API data)
Industry Affiliates
| ABACUS INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GWN MARKETING, INC. | Insurance company or agency |
| MONEY CONCEPTS ADVISORY SERVICE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| WIN ADVISORS, INC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WALSH, DENIS STEPHEN | Individual | – | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 05/2005 | < 5% |
| WALSH, MARY THERESE | Individual | – | SECRETARY | 02/2005 | < 5% |
| BORNHEIMER, LAURA JEANETTE | Individual | – | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 02/2005 | < 5% |
| CORBIN, BRAD JEFFREY | Individual | – | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 08/2007 | < 5% |
| RITTMAN, BARRY RICHARD | Individual | – | CFO FINOP VP | 07/2008 | < 5% |
| WORLD INVESTMENT NETWORK | Domestic Entity | – | OWNER | 01/2003 | > 75% |
| WIN CLASS A STOCK TRUST | Domestic Entity | WORLD INVESTMENT NETWORK | TRUST HOLDING WORLD INVESTMENT NETWORK STOCK, DENIS WALSH TRUSTEE | 09/2012 | > 75% |