Gwn Securities Inc

CRD#128929
Investment Advisor Firm

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Learn more about Gwn Securities Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Gwn Securities Inc is a financial advisory firm located in Palm Beach Gardens, Florida. The company manages $2.3 billion in assets throughout 50,339 accounts, making it one of the largest investment advisory firms in the United States by assets under management (AUM). Gwn Securities Inc has a large team of 650 employees, including 400 financial advisors. Gwn Securities Inc does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer firm to do so. Securities are exchangable fiscal investments such as bonds, options and equities.

    Gwn Securities Inc manages all of its accounts on a discretionary basis. Discretionary management means that transaction decisions for the client's account are made by an investment advisor without needing client consent. The investment advisory firm's average account size is $45,423. An average advisor at Gwn Securities Inc administers about 126 client accounts.

    The firm's central office is at 11440 North Jog Road, Palm Beach Gardens, Florida 33418-3764. The firm is legally permitted to serve customers throughout 51 U.S. states and territories.

    Assets Under Management

    $2.3 billion

    Number of Advisors

    400

    Disclosures

    No

    Office Location

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

    Gwn Securities Inc by the Numbers

    Total Assets Under Management

    $2.3 billion

    National Average: $3.7 billion
    Total Number of Employees

    650

    National Average: 29
    Total Number of Accounts

    50,339

    National Average: 2,073
    Average Account Size

    $45.4 thousand

    National Average: $1.8 million

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    Products and Services

    Gwn Securities Inc offers a variety of services, which can consist of financial planning services, portfolio management for individuals and small businesses, selection of other advisers and market timing services. In the prior fiscal year, the company provided financial planning services to 26-50 of its accounts. It is involved in selling products or offering services apart from investment advice to its clients. Gwn Securities Inc also has a number of financial industry affiliations, including with a broker-dealer or securities dealer and insurance company or agency.

    Core Advisor Services

    • Offered by 45% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 62% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Offered by 0% of firms

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 23% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advisory services depend on the services offered. Fees billed by Gwn Securities Inc likely are comprised of any combination of the following fee structures: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

    Available

    • Offered by 74% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 35% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 40% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 12% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 2% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 17% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 1% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    It works with retail investors. Out of its 50,339 accounts, Gwn Securities Inc's biggest client group is retail investors. None of the company's customers are represented by people from outside of the U.S.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 100%
    • Corporations - 0%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Gwn Securities Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Gwn Securities Inc

    Michael Leake
    Palm Beach Gardens, FL
    Michael Jones
    Matthews, NC
    Shannon Suarez
    Palm Beach Gardens, FL
    Steven Schramm
    Palm Beach Gardens, FL
    Laurie Allen-Raymond
    Palm Beach Gardens, FL
    Todd Seagrave
    Palm Beach Gardens, FL
    Tyler Ferguson
    Palm Beach Gardens, FL
    Allen Tollett
    Fritch, TX
    Luke Dalton
    Catoosa, OK

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    The content in this profile was updated by SmartAsset on 08/06/2020 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com. The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

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    Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.