Victoria Garfield
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.
Victoria Garfield, who also goes by VIctoria G Turk, Victoria Grace Turk, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1990. Victoria had worked at 10 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - September 1, 2021
GWN SECURITIES INC.
November 9, 2020 - September 1, 2021
GWN SECURITIES INC.
January 20, 2010 - November 10, 2020
FAIRPORT ASSET MANAGEMENT CORP
October 16, 2009 - November 10, 2020
FAIRPORT CAPITAL, INC.
September 6, 2005 - October 19, 2009
MML INVESTORS SERVICES, LLC
May 13, 2005 - October 19, 2009
MML INVESTORS SERVICES, LLC
June 22, 2004 - April 14, 2005
PARK AVENUE SECURITIES LLC
June 11, 2004 - April 14, 2005
PARK AVENUE SECURITIES LLC
February 25, 2004 - June 8, 2004
METROPOLITAN LIFE INSURANCE COMPANY
February 25, 2004 - June 8, 2004
MSI FINANCIAL SERVICES, INC.
August 9, 2002 - December 31, 2003
MSI FINANCIAL SERVICES, INC.
May 3, 2001 - January 12, 2004
METROPOLITAN LIFE INSURANCE COMPANY
May 3, 2001 - January 12, 2004
MSI FINANCIAL SERVICES, INC.
April 25, 1995 - June 23, 2004
CERTIFIED FINANCIAL SERVICES, LLC
September 26, 1994 - April 19, 2001
NATHAN & LEWIS SECURITIES, INC.
March 10, 1994 - August 3, 1994
GE INVESTMENT DISTRIBUTORS, INC
November 20, 1992 - April 4, 1994
MML INVESTORS SERVICES, LLC
June 4, 1990 - November 5, 1992
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
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
Series 7TO
Date: 12/12/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/12/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
Contact information
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.
