Joseph F. Ruffenach

GWN SECURITIES

Egg Harbor Township, NJ

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CRD#: 2086261

Professional summary

Joseph Francis Ruffenach JR, who also goes by Joe Ruffenach, Joseph Francis Ruffenach, is a registered financial advisor currently at GWN SECURITIES INC. located in Egg Harbor Township, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Joseph has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Ruffenach | Joseph Francis Ruffenach

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Ruffenach JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Francis Ruffenach JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 16, 2010 - Present

GWN SECURITIES INC.

RIA

CRD#: 128929

Egg Harbor Township, NJ

Current

August 16, 2010 - Present

GWN SECURITIES INC.

RIA

CRD#: 128929

Egg Harbor Township, NJ

Past

January 23, 2009 - August 23, 2010

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAVISTA, NE

Past

January 23, 2009 - August 16, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

ATLANTIC CITY, NJ

Past

July 18, 2007 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

ATLANTIC CITY, NJ

Past

March 20, 2001 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

ATLANTIC CITY, NJ

Past

January 2, 2001 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

March 6, 1996 - January 12, 2001

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

August 20, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

August 20, 1990 - January 25, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(8/16/2010)

New Jersey
(8/16/2010)

IAR

New Jersey
(8/16/2010)

North Carolina
(10/7/2024)

Pennsylvania
(8/16/2010)

Virginia
(9/4/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/17/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/11/2025)

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

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Joseph F. Ruffenach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Ruffenach JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Francis Ruffenach JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GWN SECURITIES INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2005

SIE

Date: 10/1/2018

Series 6

Date: 8/17/1990

FINRA

Current Firm

GWN SECURITIES INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GWN SECURITIES INC.

TRUST BUT VERIFY

Contact information

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