AW SECURITIES
HANSON MCCLAIN RETIREMENT NETWORK, LLC Legal Name
Adviser information for AW SECURITIES last updated from Form ADV on March 22nd, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | MARKETING SERVICES PROVIDED TO FINANCIAL ADVISORS. |
|---|---|
| Compensation | FEES BASED ON MARKETING SERVICES TO OTHER ADVISORS. |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-69038 |
|---|---|
| SEC ERA File Number | 801-69038 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 103747 |
| Legal Entity Identifier | None |
Principal Office
340 PALLADIO PKWY.SUITE 501
FOLSOM
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 916-608-1525, Fax: 916-608-1570
Chief Compliance Officer
COREY GAMBLE
CHIEF COMPLIANCE OFFICER
340 PALLADIO PKWY.
SUITE 501
FOLSOM
CA
United States
Tel:
916-475-1351
Fax:
855-208-5024
C***********@****************M
(Full email address available in API data)
Industry Affiliates
| ALLWORTH FINANCIAL, L.P. | Other investment adviser, including financial planners |
| ALLWORTH TAX SOLUTIONS | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANSON, SCOTT THOMAS | Individual | – | CEO | 07/2017 | < 5% |
| ALLWORTH FINANCIAL GROUP, L.P. | Domestic Entity | – | GENERAL PARTNER | 07/2019 | > 75% |
| BEATON, DANIEL STEWART | Individual | – | FINOP | 07/2017 | < 5% |
| GRIGSBY, GARY LAWSON | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |
| AFG INTERMEDIATE, L.P. | Domestic Entity | ALLWORTH FINANCIAL GROUP, L.P. | OWNER | 07/2019 | > 75% |
| AFG PARENT GP, LLC | Domestic Entity | AFG INTERMEDIATE, L.P. | OTHER GENERAL PARTNERS | 10/2020 | |
| ALLWORTH FINANCIAL HOLDINGS, LLC | Domestic Entity | AFG INTERMEDIATE, L.P. | OWNER | 10/2020 | > 75% |
| OTPP/AFG, LLC | Domestic Entity | ALLWORTH FINANCIAL HOLDINGS, LLC | OWNER | 10/2020 | 25-50% |
| 2781807 ONTARIO LIMITED | Foreign Entity | OTPP/AFG, LLC | OWNER | 10/2020 | > 75% |
| ONTARIO TEACHER'S PENSION PLAN BOARD | Foreign Entity | 2781807 ONTARIO LIMITED | OWNER | 10/2020 | > 75% |
| GREENBERG, BARRY YALE | Individual | – | CHIEF LEGAL COUNSEL | 06/2021 | < 5% |
| TAYLOR, KRISTIAN LEIGH | Individual | – | VICE PRESIDENT- OPERATIONS | 01/2022 | < 5% |