WP
William F. Plum
GWN SECURITIES
Clearwater Beach, FL
Some features on this profile are disabled
CRD#: 2030301
WP
Professional summary
William Francis Plum is a registered financial advisor currently at GWN SECURITIES INC. located in Clearwater Beach, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. William has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1)INDEPENDENT INSURANCE AGENT,YES,505 PORTSMOUTH CT, DOYLESTOWN, PA 18901,FIXED INSURANCE SALES,INDEPENDENT INSURANCE AGENT,05/28/2009,160,160,SALES OF FIXED INSURANCE PRODUCTS. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2015-02-27,160 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 William Francis Plum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Francis Plum'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
May 27, 2021 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Clearwater Beach, FL
Current
February 25, 2015 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Clearwater Beach, FL
Past
February 25, 2015 - May 26, 2021
GWN SECURITIES INC.
RIA
CRD#: 128929
Doylestown, PA
Past
January 19, 2010 - February 27, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DOYLESTOWN, PA
Past
January 1, 2004 - February 27, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DOYLESTOWN, PA
Past
March 2, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
January 5, 1999 - March 4, 1999
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
January 2, 1998 - January 4, 1999
CPA ADVISORS NETWORK, INC.
BD
CRD#: 10880
PROVIDENCE, RI
Past
May 22, 1997 - January 14, 1998
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 3, 1997 - June 10, 1997
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
January 4, 1995 - February 4, 1997
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
July 30, 1992 - December 30, 1994
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
January 18, 1991 - August 19, 1992
PHILADELPHIA FINANCIAL ADVISORS, INC.
BD
CRD#: 7149
PHILADELPHIA, PA
Past
April 19, 1990 - January 29, 1991
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 19, 1990 - January 29, 1991
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(2/25/2015)
IAR
Florida(5/27/2021)
RR
Maine(8/9/2021)
RR
Maryland(2/25/2015)
RR
New Jersey(2/25/2015)
RR
New York(2/25/2015)
RR
North Carolina(2/25/2015)
RR
Ohio(11/29/2021)
RR
Pennsylvania(8/9/2021)
RR
South Carolina(2/25/2015)
RR
Virginia(2/25/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
