Thomas S. Groeniger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Spencer Groeniger, who also goes by Tom Groeniger, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - September 1, 2015
GWN SECURITIES INC.
January 15, 2014 - September 1, 2015
GWN SECURITIES INC.
January 11, 2007 - December 31, 2013
GWN SECURITIES INC.
May 22, 2002 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 13, 2002 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2001 - December 14, 2001
BRECEK & YOUNG ADVISORS, INC.
November 21, 1997 - March 6, 2001
DONAHUE SECURITIES, INC.
September 25, 1996 - September 8, 1997
MARINER FINANCIAL SERVICES, INC.
May 10, 1993 - November 14, 1995
VOYA FINANCIAL ADVISORS, INC.
January 1, 1992 - December 31, 1992
VOYA FINANCIAL ADVISORS, INC.
October 20, 1987 - December 31, 1989
EQUITY SERVICES, INC.
August 7, 1986 - October 16, 1987
ROBERT W. BAIRD & CO. INCORPORATED
December 18, 1984 - August 21, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 23, 1984 - November 7, 1984
OSAIC FS, INC.
June 14, 1984 - September 30, 1987
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 30, 1983 - February 22, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
Contact information
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.
