MD
Malcolm E. Douglas
GWN SECURITIES
Hauppauge, NY 11788
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CRD#: 1422156
MD
Professional summary
Malcolm Ernest Douglas is a registered financial advisor currently at GWN SECURITIES INC. located in Hauppauge, New York.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Malcolm has worked at 4 firms and has passed the Series 63, SIE and Series 6 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.
QUIXTAR DISTRIBUTOR - AAA LONG ISLAND REALITY CORP- DIRECTOR. DOUGLAS SMITH CONSULTANTS - ADVISOR THREE SQUARES AND A STAR MANAGEMENT GROUP, LLC POSITION: CEO/PRESIDENT NATURE: WE SPECIALIZE IN PROVIDING SOLUTIONS TO COMPANIES, CHURCHES AND CIVIC GROUPS WHO REQUIRE EXPERTISE IN PLANNING, MANAGEMENT AND ADMINISTERING OF GROUP INSURANCE PRODUCTS. INVESTMENT RELATED: NO NUMBER OF HOURS: 25 INVESTMENT RELATED HOURS: 5 START DATE: 02/01/2011 ADDRESS: 122 EAST 42 ND ST, 17TH FLOOR, NEW YORK NY 10168 DESCRIPTION: I AM THE CEO AND PRESIDENT. IT IS MY JOB TO SEEK OUT ORGANIZATIONS NEEDING OUR SERVICES. LOWER HUDSON VALLEY CENTER FOR EMPOWERMENT POSITION: PRESIDENT AND CEO NATURE: LHVCE IS A NON-PROFIT ORGANIZATION THAT PROVIDES MENTORING AND ROLE MODELS TO CHILDREN IN THE LOWER HUDSON VALLEY AREA OF NEW YORK. INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 2 START DATE: 04/01/2008 ADDRESS: PO BOX 2366, HEMPSTEAD NY 11550 DESCRIPTION: MENTORING ELEMENTARY AND MIDDLE SCHOOL CHILDREN. MALCOLM DOUGLAS AND ASSOCIATES, INC. POSITION: PRESIDENT AND CEO NATURE: INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 25 INVESTMENT RELATED HOURS: 5 START DATE: 03/01/2011 ADDRESS: 1300 VETERANS HWY., SUITE 210, HAUPPAUGE NY 11788 DESCRIPTION: INSURANCE SALES LIFE INSURANCE POSITION: Executive Director NATURE: Selling group life insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2011 ADDRESS: 454 West 155th St., New York NY 10032, United States DESCRIPTION: My role was to market the plan to members throughout NY at our annual and semi-annual meetings. CGAA, Inc., Is Investment Related, DBA, Financial Professional, 07/30/2004,160 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 Malcolm Ernest Douglas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Ernest Douglas'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
March 31, 2021 - Present
GWN SECURITIES INC.
Office #1: 1300 Veterans Highway Suite 210, Hauppauge, NY 11788RIA
BD
CRD#: 128929
Hauppauge, NY
Current
July 30, 2004 - Present
GWN SECURITIES INC.
Office #1: 1300 Veterans Highway Suite 210, Hauppauge, NY 11788RIA
BD
CRD#: 128929
Hauppauge, NY
Past
August 11, 1997 - July 30, 2004
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
January 1, 1994 - August 4, 1997
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 28, 1986 - January 1, 1994
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
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(10/10/2024)
RR
Connecticut(6/11/2020)
RR
Delaware(5/23/2023)
RR
District of Columbia(1/13/2025)
RR
Florida(8/15/2016)
RR
Georgia(5/7/2014)
RR
Maryland(1/17/2025)
RR
Nevada(5/12/2023)
RR
New Jersey(9/12/2005)
RR
New York(7/30/2004)
IAR
New York(3/31/2021)
RR
North Carolina(8/22/2022)
RR
Pennsylvania(1/8/2025)
RR
South Carolina(2/25/2021)
RR
Virginia(1/23/2007)
RR
West Virginia(9/22/2022)
Exams
State Security Law 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.
