JD
John B. Duchaine
GWN SECURITIES
Bay City, MI 48708
Some features on this profile are disabled
CRD#: 1309171
JD
Professional summary
John Baptist Duchaine IV, who also goes by Financial Consultants Duchaine Llc, John Duchaine, John B Duchanie, is a registered financial advisor currently at GWN SECURITIES INC. located in Bay City, Michigan.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Financial Consultants Duchaine Llc | John Duchaine | John B Duchanie
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.
LIFE, HEALTH, AND ANNUITIES POSITION: saleman NATURE: Fixed, Health, Life and Annuity sales and service. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 10/01/1984 ADDRESS: 406 Seventh St, Suite 202, Bay City MI 48708 DESCRIPTION: Sale and Service of fixed annuities, health insurance, and life insurance. No index products involved. DUCHAINE FINANCIAL CONSULTANTS, LLC POSITION: PRESIDENT NATURE: DUCHAINE FINANCIAL CONSULTANTS, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2014 ADDRESS: 406 Seventh Street, Suite 202, Bay City MI 48708, United States DESCRIPTION: FIXED SALES ONLY
CRS (Client Relationship Summary) - RIA
Click below to view John Baptist Duchaine IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Baptist Duchaine IV'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
April 1, 2014 - Present
GWN SECURITIES INC.
Office #1: 406 Seventh St. Suite 202, Bay City, MI 48708RIA
BD
CRD#: 128929
Bay City, MI
Current
March 27, 2014 - Present
GWN SECURITIES INC.
Office #1: 406 Seventh St. Suite 202, Bay City, MI 48708RIA
BD
CRD#: 128929
Bay City, MI
Past
August 6, 2010 - February 25, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BAY CITY, MI
Past
December 5, 1984 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 5, 1984 - February 25, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BAY CITY, MI
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(3/27/2014)
RR
Florida(3/27/2014)
RR
Hawaii(4/18/2022)
RR
Idaho(6/3/2024)
RR
Indiana(3/27/2014)
RR
Maine(3/20/2019)
RR
Michigan(3/27/2014)
IAR
Michigan(4/1/2014)
RR
Ohio(6/3/2024)
RR
Wisconsin(4/29/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
