DO
David S. Oldham
GWN SECURITIES
Norwalk, CT 06850
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CRD#: 1259949
DO
Professional summary
David Stuart Oldham is a registered financial advisor currently at GWN SECURITIES INC. located in Norwalk, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
OLDHAM RESOURCE GROUP,INVESTMENT RELATED,FIXED INSURANCE AND ANNUTIES SALES.
CRS (Client Relationship Summary) - RIA
Click below to view David Stuart Oldham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Stuart Oldham'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
June 18, 2015 - Present
GWN SECURITIES INC.
Office #1: 70 New Canaan Ave., Norwalk, CT 06850RIA
BD
CRD#: 128929
Norwalk, CT
Current
June 17, 2015 - Present
GWN SECURITIES INC.
Office #1: 70 New Canaan Ave., Norwalk, CT 06850RIA
BD
CRD#: 128929
Norwalk, CT
Past
May 20, 2014 - June 19, 2015
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NORWALK, CT
Past
November 22, 2013 - June 17, 2015
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NORWALK, CT
Past
October 18, 2010 - May 12, 2014
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
NORWALK, CT
Past
March 21, 2000 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
NORWALK, CT
Past
June 7, 1984 - March 27, 2000
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, 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.
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
Arizona(6/17/2015)
RR
California(6/17/2015)
RR
Colorado(6/17/2015)
RR
Connecticut(6/18/2015)
IAR
Connecticut(6/18/2015)
RR
Delaware(12/8/2015)
RR
Florida(6/17/2015)
RR
Georgia(6/17/2015)
RR
Illinois(1/23/2017)
RR
Iowa(12/2/2015)
RR
Maine(6/18/2015)
RR
Maryland(12/4/2015)
RR
Massachusetts(12/2/2015)
RR
Michigan(12/9/2015)
RR
New Hampshire(12/2/2015)
RR
New Jersey(12/3/2015)
RR
New Mexico(1/23/2017)
RR
New York(12/3/2015)
RR
North Carolina(7/1/2015)
RR
Ohio(6/17/2015)
RR
Oregon(6/17/2015)
RR
Pennsylvania(6/17/2015)
RR
Rhode Island(6/17/2015)
RR
South Carolina(6/17/2015)
RR
Tennessee(12/10/2019)
RR
Texas(6/17/2015)
RR
Utah(1/24/2017)
RR
Vermont(6/17/2015)
RR
Virginia(6/17/2015)
RR
Washington(6/19/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
