Mark A. Schindler
GWN SECURITIES
Northridge, CA
Some features on this profile are disabled
CRD#: 1047160
Professional summary
Mark Andrew Schindler, CFP® is a registered financial advisor currently at GWN SECURITIES INC. located in Northridge, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
RENTAL PROPERTY POSITION: OWNER NATURE: PASSIVE RENTAL INCOME. INVESTMENT RELATED: NO NUMBER OF HOURS: 8 INVESTMENT RELATED HOURS: 1 START DATE: 02/15/2015 ADDRESS: 16129 OCASO AVE., LA MIRADA CA 90638 DESCRIPTION: RECORD KEEPING, INITIALLY ADVERTISE AND SPEAK WITH POTENTIAL TENANTS, CONTACT PROFESSIONALSFOR FUTURE REPAIRS. PLANNING YOU CONTROL Is Investment Related, "Financial Services, Insurance", Financial Professional, 2014-02-12, 160 hours per month, 160 hours per month during trading hours, Commission Compensation, DBA related to Investment and Insurance Sales such as life, fixed and indexed annuities, long term care, and health. CAPSTONE HEALTH PLAN INVESTMENT RELATED: Is Not Investment Related NATURE: Present Self Insured Medical Reimbursement Plan (SIMRP) to business owners and benefit managers provided under the Affordable Care Act POSITION: Agent START DATE: 2024-02-19, HOURS PER MONTH: 10 hours per month, INVESTMENT RELATED HOURS: 4 hours per month during trading hours DESCRIPTION: "Contact and present to business owners and benefit managers the Self Insured Medical Reimbursement Plan (SIMRP) for Capstone Health and Wellness, the Plan Administrator, as provided for under I.R.C. 125,105,106, and 213(d). This gives employers the opportunity to realize tax savings, and for employees to have more dollars that they can use for additional health benefits."
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Schindler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Schindler'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®
CFP®
Start date: 1990
Experience
Current
February 14, 2014 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Northridge, CA
Current
February 13, 2014 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Northridge, CA
Past
June 27, 2007 - February 19, 2014
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
NORTHRIDGE, CA
Past
June 27, 2007 - February 19, 2014
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
NORTHRIDGE, CA
Past
December 22, 1997 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
NORTHRIDGE, CA
Past
March 5, 1996 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
NORTHRIDGE, CA
Past
August 15, 1995 - March 14, 1996
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
October 11, 1994 - May 4, 1995
ASB FINANCIAL SERVICES
BD
CRD#: 24280
IRVINE, CA
Past
May 30, 1992 - November 8, 1994
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
June 21, 1989 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
August 10, 1987 - June 6, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
June 24, 1982 - July 31, 1987
FLEET BROKERAGE SECURITIES, INC.
BD
CRD#: 7313
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
California(2/13/2014)
IAR
California(2/14/2014)
RR
Idaho(7/18/2023)
RR
Texas(2/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
