PM
Paul D. Moore
GWN SECURITIES
Lubbock, TX 79423
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CRD#: 1033009
PM
Professional summary
Paul Douglas Moore is a registered financial advisor currently at GWN SECURITIES INC. located in Lubbock, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Paul has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PAUL MOORE FINANCIAL SERVICES POSITION: Agent NATURE: Selling Insurance Products, DBA INVESTMENT RELATED: YES NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 3 START DATE: 08/01/2005 ADDRESS: 8212 ITHACA, SUITE 9, LUBBOCK TX 79423 DESCRIPTION: Selling investment and life insurance and fixed annuities, equity indexed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Douglas Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Douglas Moore's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 20, 2005 - Present
GWN SECURITIES INC.
Office #1: 8212 Ithaca Suite 9, Lubbock, TX 79423RIA
BD
CRD#: 128929
Lubbock, TX
Current
January 20, 2005 - Present
GWN SECURITIES INC.
Office #1: 8212 Ithaca Suite 9, Lubbock, TX 79423RIA
BD
CRD#: 128929
Lubbock, TX
Past
August 20, 2001 - January 14, 2005
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
LUBBOCK , TX
Past
August 8, 2001 - January 14, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
January 21, 1992 - August 8, 2001
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
June 11, 1986 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
BD
CRD#: 3963
Past
July 24, 1985 - October 29, 1991
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 16, 1982 - December 21, 1987
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(11/25/2022)
RR
Oklahoma(4/5/2017)
RR
Texas(1/20/2005)
IAR
Texas(1/20/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
