Gwn Securities Inc.

Registered investment adviser · Palm Beach Gardens, FL · CRD #128929

Form ADV data as of 2026-09-01

Regulatory assets

$4.75 billion

Total accounts

66,025

Employees

707

Disclosure events

Firm details

Website: https://www.facebook.com/gwnsecurities/
Telephone: 561-472-2700
SEC file number: 801-62547
Most recent Form ADV filing: 2026-04-13
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$4.75 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$4.75 billion
Discretionary accounts	66,025
Non-discretionary accounts	0
Total accounts	66,025
Regulatory assets under management attributable to non-U.S. persons	$475,362

People

Total employees (excluding clerical)	707
Employees performing investment advisory functions (including research)	448
Employees who are registered representatives of a broker-dealer	671
Employees registered as investment adviser representatives with a state	448
Employees registered as IARs for another investment adviser	57
Employees who are licensed insurance agents	683
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Market timing services

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	35,546	$3.89 billion
High net worth individuals	2,217	$850.3 million
Corporations or other businesses not listed above	30	$17.0 million