Stephen E. Gwin
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.
Stephen Emerson Gwin, who also goes by Steve Gwin, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2021 - September 11, 2023
RETIREWISE TAX AND WEALTH ADVISORS, INC.
March 1, 2017 - April 2, 2020
RETIREWISE TAX AND WEALTH ADVISORS, INC.
June 17, 2016 - April 19, 2017
AE WEALTH MANAGEMENT, LLC
February 13, 2002 - May 12, 2016
THE O.N. EQUITY SALES COMPANY
August 19, 1996 - February 12, 2002
SECURIAN FINANCIAL SERVICES, INC.
May 25, 1988 - August 19, 1996
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
RETIREWISE TAX AND WEALTH ADVISORS, INC.
CRD#: 284394 / SEC#: 801-129853
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
RETIREWISE TAX AND WEALTH ADVISORS, INC.
CRD#: 284394 / SEC#: 801-129853
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 672 |
| AUM (Assets Under Management) | $ 170,058,390 |
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.
