Richard H. Williams

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CRD#: 1219044

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.

Richard Henry Williams was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 1, 2010 - August 22, 2013

GWN SECURITIES INC.

CRD#: 128929

ABINGDON, VA

Past

February 23, 2005 - July 17, 2018

INTERACTIVE FINANCIAL ADVISORS

RIA

CRD#: 125117

ABINGDON, VA

Past

February 15, 2005 - July 1, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

ABINGDON, VA

Past

January 10, 2005 - February 23, 2005

PMG ASSET MANAGEMENT INC

RIA

CRD#: 110825

WYTHEVILLE, VA

Past

January 3, 2004 - December 31, 2004

PMG SECURITIES CORPORATION

RIA

CRD#: 27107

WYTHEVILLE, VA

Past

March 7, 2001 - December 31, 2003

PMG ASSET MANAGEMENT INC

RIA

CRD#: 110825

GRUNDY, VA

Past

January 2, 2001 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

September 3, 1996 - December 31, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 3, 1989 - September 6, 1996

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

March 1, 1988 - April 25, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

Past

May 15, 1987 - March 8, 1988

SECURITIES NETWORK, INC.

CRD#: 8671

Past

September 27, 1985 - May 15, 1987

UAN INVESTMENT CORP.

CRD#: 16665

Past

June 20, 1984 - September 15, 1987

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

April 24, 1984 - September 25, 1985

CETERA WEALTH SERVICES, LLC

CRD#: 13572

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/11/2025)

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

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.

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Firm Stability Insights

Richard H. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERACTIVE FINANCIAL ADVISORS

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG ASSET MANAGEMENT INC

PMG SECURITIES CORPORATION

PMG ASSET MANAGEMENT INC

PMG SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

ARAGON FINANCIAL SERVICES, INC.

SOURCE SECURITIES, INC.

SECURITIES NETWORK, INC.

UAN INVESTMENT CORP.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1999

Series 63

Date: 4/2/1984

Series 7

Date: 2/18/1984

Current Firm

GWN SECURITIES INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GWN SECURITIES INC.

TRUST BUT VERIFY

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