James K. Boseman
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.
James Kent Boseman, who also goes by Kent Boseman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2014 - December 18, 2023
GWN SECURITIES INC.
July 26, 2013 - December 18, 2023
GWN SECURITIES INC.
January 18, 2012 - August 5, 2013
PEAK BROKERAGE SERVICES, LLC
July 16, 2007 - December 31, 2011
WOODBURY FINANCIAL SERVICES, INC.
May 16, 2006 - July 11, 2007
W. H. COLSON SECURITIES, INC.
October 9, 2003 - May 8, 2006
CAPITAL INVESTMENT GROUP, INC.
February 9, 2002 - August 19, 2003
PARKLAND SECURITIES, LLC
August 31, 2001 - February 9, 2002
WALNUT STREET SECURITIES, INC.
April 5, 1999 - August 31, 2001
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 21, 1997 - December 31, 1998
WORKMAN SECURITIES CORPORATION
April 23, 1996 - February 28, 1997
SECURITIES AMERICA, INC.
April 7, 1995 - December 31, 1996
BANNER FINANCIAL SERVICES GROUP
March 24, 1994 - April 3, 1995
WOODBURY FINANCIAL SERVICES, INC.
February 8, 1994 - March 27, 1996
CAPITAL INVESTMENT GROUP, INC.
November 3, 1993 - February 17, 1994
WOODBURY FINANCIAL SERVICES, INC.
October 27, 1993 - November 9, 1993
SENTRY EQUITY SERVICES, INC.
January 30, 1991 - March 17, 1992
1717 CAPITAL MANAGEMENT COMPANY
November 7, 1990 - November 9, 1993
CAPITAL INVESTMENT GROUP, INC.
October 19, 1988 - November 13, 1990
VOYA FINANCIAL ADVISORS, INC.
June 3, 1987 - October 24, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
December 5, 1986 - June 3, 1987
A. G. EDWARDS & SONS, INC.
January 20, 1984 - December 12, 1986
PFS INVESTMENTS INC.
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.
