SL
Stephen M. Locko
GWN SECURITIES
Carlsbad, CA
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CRD#: 1588434
SL
Professional summary
Stephen Michael Locko is a registered financial advisor currently at GWN SECURITIES INC. located in Carlsbad, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 27 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.
BEACHFRONT TAX LLC - OWNER OPERATOR, THE FIRM ENTERED INTO AN SUBSCRIPTION AGREEMENT WITH UNITED TAX PARTNERS (UTP)TO OPERATE A TAX PREPARATION BUSINESS USING UTP AS THE PROFESSIONAL SERVICE PROVIDER OF TAX RELATED SERVICES TO THE PUBLIC. BEACHFRONT TAX GATHERS AS A FACILITATOR DATA AND INFORMATION FROM CLIENTS IN ORDER TO TRANSMIT SAME TO UTP. UTP USES ITS OWN CONTRACTED CPAS AND OTHER TAX PROFESSIONALS TO USE THE INFORMATION TO REVIEW PRIOR OR PREPARE CURRENT TAX RETURNS AND RELATED DOCUMENTATION, WHICH IS THEN RETURNED TO BEACHFRONT TAX TO BE DELIVERED TO CLIENTS AS A WORKPRODUCT OF UTP AND ITS AFFILIATED TAX PROFESSIONALS BY AND BETWEEN UTP, ITS TAX ADVISORS AND CLIENTS. DURING THAT PROCESS ANY DISCUSSION OF INSURANCE RELATED PLANNING WILL BE CONDUCTED ISN NETWORK. ANY DISCUSSION OF INVESTMENT RELATED PLANNING WILL BE CONDUCTED BY LOCKO AS A GWN ADVISOR. RESOURCE MARKETING - NON INVESTMENT RELATED CONSULTATION ON CORPORATE ENTERPRISE RISK, RISK MANAGEMENT, COMMERCIAL AND OTHER INSURANCE REVIEW, BUSINESS CONSULTANT. INVESTOR / OWNER / MANAGER - INCOME PRODUCING PROPERTY (RESIDENTIAL) - PERSONAL FRACTIONAL (CO-OWNERSHIP) OF RESIDENTIAL CONDOMINIUM AND RESIDENTIAL PROPERTY ISN NETWORK POSITION: Owner & EVP - Marketing NATURE: WHOLESALE MARKETING, SALES & SERVICING FIXED INSURANCE PROGRAMS, PERSONAL PRODUCTION OF SAME. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2021 ADDRESS: 2035 Corte Del Nogal Ave, Suite 101, Carlsbad CA 92011, United States DESCRIPTION: OWENR, OPERATOR, COO & EVP - WHOLESALE MARKETING AND SALES SUPPORT OF FIXED RATE AND INDEXED ANNUITIES, TERM, UNIVERSAL, IUL & WHOLE LIFE, DISABILITY, LTC AND HYBRID PLANS FOR PRODUCER GROUPS, PRODUCERS AND AGENTS. PERSONAL PRODUCTION OF SAME, TO INCLUDED MEDICARE ADVANTAGE, MEDICARE SUPPLEMENT, AND MEEDICARE PRESCRIPTION DRUG PLANS.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Locko's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Locko'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 17, 2009 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Carlsbad, CA
Current
March 16, 2009 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Carlsbad, CA
Past
April 13, 2006 - February 2, 2009
OSAIC FS, INC.
RIA
CRD#: 3870
CARLSBAD, CA
Past
April 26, 2005 - February 2, 2009
OSAIC FS, INC.
BD
CRD#: 3870
CARLSBAD, CA
Past
September 14, 2004 - January 4, 2005
GREENBOOK INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 131563
SAN DIEGO , CA
Past
June 10, 2003 - March 19, 2004
COINBASE CAPITAL MARKETS CORP
BD
CRD#: 10722
NEW YORK, NY
Past
January 28, 2003 - May 25, 2004
XELAN FINANCIAL PLANNING, INC.
RIA
CRD#: 123794
SAN DIEGO, CA
Past
May 30, 2002 - January 28, 2003
XELAN INVESTMENT SERVICES, INC.
RIA
CRD#: 111870
SAN DIEGO, CA
Past
March 27, 2002 - April 7, 2003
FREEDOM FINANCIAL, INC.
BD
CRD#: 45850
OMAHA, NE
Past
June 9, 1998 - March 16, 2001
WESTFIN SECURITIES CORPORATION
BD
CRD#: 35150
IRVINE, CA
Past
May 23, 1996 - August 9, 1996
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
January 31, 1994 - December 31, 1994
WESTFIN SECURITIES CORPORATION
BD
CRD#: 35150
IRVINE, CA
Past
November 3, 1992 - June 19, 1995
WESTERN FINANCIAL CORPORATION
BD
CRD#: 6118
SAN DIEGO, CA
Past
September 28, 1989 - November 20, 1992
XELAN SECURITIES CORPORATION
BD
CRD#: 16555
Past
March 4, 1988 - May 17, 1989
FIRST IMPERIAL INVESTOR SERVICES, INC.
BD
CRD#: 20722
Past
December 3, 1986 - April 6, 1988
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
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(12/8/2020)
IAR
California(3/17/2009)
RR
California(3/18/2009)
RR
Florida(12/7/2020)
RR
Nevada(11/29/2012)
RR
New York(8/8/2018)
RR
Virginia(12/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
