DW
Daniel W. Worthington
GWN SECURITIES
Orinda, CA
Some features on this profile are disabled
CRD#: 1202877
DW
Professional summary
Daniel William Worthington, who also goes by Daniel W Worthington, is a registered financial advisor currently at GWN SECURITIES INC. located in Orinda, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Daniel has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel W Worthington
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.
VARIOUS OUTSIDE INSURANCE COMPANIES GROUP HEALTH AND DENTAL Is Not Investment Related, Group Health, Broker, 2005-06-01, 2 hours per month, 2 hours per month during trading hours, Other Compensation, Just service the accounts but that's pretty much done by the companies. I just manage the relationship. HAMILTON ZANZE Is Not Investment Related, Real Estate, Passive Investor, 2016-05-15, 0 hours per month, 0 hours per month during trading hours, Other Compensation, Passive income from rents. I am an investor in 8 of their properties AEGIS SENIOR LIVING Is Not Investment Related, Real Estate, Investor, 2008-01-15, 0 hours per month, 0 hours per month during trading hours, Other Compensation, Passive income from rents. I have two properties I?m currently invested in MIRAMAR Is Not Investment Related, Real Estate, Commercial Real Estate, 2018-09-15, 0 hours per month, 0 hours per month during trading hours, Other Compensation, Passive income from rents. I am currently invested in 10 of their properties OAKMONT SENIOR LIVING Is Not Investment Related, Real Estate, Investor, 2010-06-15, 0 hours per month, 0 hours per month during trading hours, Other Compensation, Income from rents. I am currently invested in 1 of their properties REAL ESTATE INVESTMENTS/OWNERSHIP OWNER Is Investment Related, "Real State, Investor", "Owner, Investor ", 2001-01-01, 5 hours per month, 0 hours per month during trading hours, Commission Compensation, Real Estate Investor WORTHINGTON GARRIGAN LLC POSITION: property owner NATURE: Fast Food INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2015 ADDRESS: 106 N Washington Hwy, Ashland VA 23005, United States DESCRIPTION: None see above ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2019-09-18,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel William Worthington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel William Worthington'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
September 18, 2019 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Orinda, CA
Current
September 18, 2019 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Orinda, CA
Past
February 21, 2019 - July 29, 2019
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Walnut Creek, CA
Past
December 6, 2018 - July 29, 2019
CASTLE ROCK WEALTH MANAGEMENT, LLC
RIA
CRD#: 199513
WALNUT CREEK, CA
Past
March 10, 2004 - October 29, 2018
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN FRANCISCO, CA
Past
July 9, 1992 - December 31, 1996
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
BD
CRD#: 6907
NEW YORK, NY
Past
November 18, 1983 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 18, 1983 - October 29, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN FRANCISCO, CA
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(9/18/2019)
IAR
California(9/18/2019)
RR
Wisconsin(9/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
