RB
Richard J. Beach
GWN SECURITIES
Rocky River, OH 44116
Some features on this profile are disabled
CRD#: 1955119
RB
Professional summary
Richard Joseph Beach, CFP®, who also goes by Rick Beach, is a registered financial advisor currently at GWN SECURITIES INC. located in Rocky River, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Rick Beach
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.
RESERVE FINANCIAL, Is Investment Related, DBA/Insurance Sales, Financial Professional, Insurance Agent, 12/05/2007,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Insurance Sales of life insurance, Long-Term Care, disability and fixed annuities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Beach's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Beach'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®
CFP®
Start date: 2001
Experience
Current
January 22, 2008 - Present
GWN SECURITIES INC.
Office #1: 20220 Center Ridge Road Suite 150, Rocky River, OH 44116RIA
BD
CRD#: 128929
Rocky River, OH
Current
January 18, 2008 - Present
GWN SECURITIES INC.
Office #1: 20220 Center Ridge Road Suite 150, Rocky River, OH 44116RIA
BD
CRD#: 128929
Rocky River, OH
Past
July 25, 2005 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
ROCKY RIVER, OH
Past
November 29, 2001 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
ROCKY RIVER, OH
Past
August 1, 2000 - November 21, 2001
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
January 27, 1998 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
September 23, 1996 - December 23, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Florida(1/17/2019)
RR
Ohio(1/18/2008)
IAR
Ohio(1/22/2008)
Exams
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.
