DH
Dennis A. Hughes
GWN SECURITIES
Cicero, NY 13039
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CRD#: 1167257
DH
Professional summary
Dennis Arthur Hughes SR, who also goes by Dennis Arthur Hughes, Dennis A Hughes, is a registered financial professional currently at GWN SECURITIES INC. located in Cicero, New York.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1983. Dennis has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dennis Arthur Hughes | Dennis A Hughes
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.
- OWNER OF RENTAL PROPERTY LOCATED AT 5702 SOUTH BAY ROAD, CICERO, NY 13039 SINCE 9/2/11. NON-INVESTMENT RELATED. SPEND 1 HOURS PER MONTH ON THIS ACTIVITY, WITH 0 HOUR DURING TRADING HOURS. - APPOINTED TO SELL FIXED INSURANCE PRODUCTS THROUGH NATIONWIDE SINCE 7/7/1975. LOCATION: 5702 SOUTH BAY ROAD, CICERO, NY. SPEND 120 HOURS/MONTH DURING TRADING HOURS. NOT INVESTMENT RELATED.Sales of Life Insurance, Disability, Long Term Care, Fixed and variable annuities HUGHES INSURANCE AGENCY, Is Investment Related, DBA, Financial Professional, 10/03/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. TIGRIS CHARITIES Is Not Investment Related, "1121 Milton Ave, Suite 2, Syracuse, NY, 13204, United States", 501c3 Charity, Board Member, 2024-12-05, 2 hours per month, 0 hours per month during trading hours, No Compensation Compensation, General Board member offer advise on Insurance issues
CRS (Client Relationship Summary) - BD
Click below to view Dennis Arthur Hughes SR'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
October 2, 2019 - Present
GWN SECURITIES INC.
Office #1: 5702 South Bay Road, Cicero, NY 13039RIA
BD
CRD#: 128929
Cicero, NY
Past
October 2, 2019 - December 11, 2024
GWN SECURITIES INC.
RIA
CRD#: 128929
CICERO, NY
Past
August 1, 2008 - October 7, 2019
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
CICERO, NY
Past
August 1, 2008 - October 7, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
CICERO, NY
Past
May 21, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
CICERO, NY
Past
January 29, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CICERO, NY
Past
July 17, 1983 - July 19, 2007
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
CICERO, NY
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.
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
Florida(10/2/2019)
RR
New York(10/2/2019)
RR
Ohio(6/9/2025)
RR
Pennsylvania(10/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
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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.
Company Information
GWN SECURITIES INC.
CRD#: 128929Cicero, NY 13039TRUST BUT VERIFY
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