Maurice W. Braswell

GWN SECURITIES

Palm Beach Gardens, FL 33418-3764

Some features on this profile are disabled

CRD#: 2305339

Professional summary

Maurice William Braswell, who also goes by Maurice W Braswell, is a registered financial professional currently at GWN SECURITIES INC. located in Palm Beach Gardens, Florida.

Maurice is registered as a RR (Registered Representative) and started their career in finance in 1993. Maurice has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Maurice W Braswell

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) - BD

Click below to view Maurice William Braswell'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

June 27, 2014 - Present

GWN SECURITIES INC.

Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

RIA

CRD#: 128929

Palm Beach Gardens, FL

Past

March 31, 2014 - June 19, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

April 24, 2006 - December 31, 2013

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

PHILADELPHIA, PA

Past

October 24, 2005 - April 7, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WILLIAMSPORT, PA

Past

May 15, 2002 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

June 22, 1999 - May 21, 2002

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

January 13, 1998 - September 24, 1998

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

April 15, 1993 - January 7, 1998

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

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.

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
(4/21/2022)

Maryland
(11/16/2018)

New Jersey
(6/27/2014)

Pennsylvania
(6/27/2014)

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.

Exams

State Security Law Exam

Series 63

Date: 6/16/1993

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: 4/14/1993

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Robert Burns

J.P. MORGAN SECURITIES LLC

IAR

Palm Beach Gardens, FL

Spencer Carpenter Iv

TRUIST ADVISORY SERVICES, INC.

IAR

WEST PALM BEACH, FL

Benjamin Silberman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Palm Beach Gardens, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Maurice W. Braswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Maurice William Braswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

FORTUNE FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

CONSECO SECURITIES, INC.

DONAHUE SECURITIES, INC.

LINCOLN INVESTMENT

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/1993

SIE

Date: 10/1/2018

Series 6

Date: 4/14/1993

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

Similar Advisors