RW
Randolph M. Warren
GWN SECURITIES
BRIDGEWATER, NJ 08807
Some features on this profile are disabled
CRD#: 1948222
RW
Professional summary
Randolph Mark Warren, who also goes by Randy Warren, is a registered financial advisor currently at GWN SECURITIES INC. located in Bridgewater, New Jersey.
Randolph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Randolph has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Warren
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Randolph Mark Warren's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randolph Mark Warren'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
September 5, 2019 - Present
GWN SECURITIES INC.
Office #1: 1011 Route 22 Suite 104, Bridgewater, NJ 08807RIA
BD
CRD#: 128929
BRIDGEWATER, NJ
Current
August 29, 2019 - Present
GWN SECURITIES INC.
Office #1: 1011 Route 22 Suite 104, Bridgewater, NJ 08807RIA
BD
CRD#: 128929
BRIDGEWATER, NJ
Past
June 16, 2017 - August 29, 2019
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
Hamilton, NJ
Past
August 2, 2016 - August 29, 2019
GITTERMAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 153062
Hamilton, NJ
Past
July 15, 2016 - June 22, 2017
TRIAD ADVISORS LLC
BD
CRD#: 25803
Hamilton, NJ
Past
December 7, 2005 - July 8, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HAMILTON, NJ
Past
December 6, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WOODBRIDGE, NJ
Past
December 6, 2005 - July 8, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAMILTON, NJ
Past
July 1, 2002 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
WOODBRIDGE, NJ
Past
February 1, 1997 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
December 17, 1992 - May 1, 1997
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
January 1, 1990 - December 17, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
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(8/29/2019)
RR
Delaware(8/29/2019)
RR
District of Columbia(8/29/2019)
RR
Florida(8/29/2019)
RR
Idaho(1/30/2024)
RR
Maine(11/13/2024)
RR
Massachusetts(8/29/2019)
RR
New Jersey(8/29/2019)
IAR
New Jersey(9/5/2019)
RR
New York(8/29/2019)
RR
North Carolina(8/29/2019)
RR
Oregon(4/20/2021)
RR
Pennsylvania(8/29/2019)
RR
Rhode Island(8/29/2019)
RR
South Carolina(8/29/2019)
RR
Vermont(4/17/2023)
Exams
State Security Law Exam
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.
