Kenneth W. Gutshall

GWN SECURITIES

SAN MARCOS, TX 78666

Some features on this profile are disabled

CRD#: 232459

Professional summary

Kenneth Wayne Gutshall, who also goes by Ken Gutshall, is a registered financial advisor currently at GWN SECURITIES INC. located in San Marcos, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Kenneth has worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Gutshall

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 Kenneth Wayne Gutshall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Wayne Gutshall'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 14, 2025 - Present

GWN SECURITIES INC.

Office #1: 2200 Old Ranch Road Suite C, San Marcos, TX 78666

RIA

CRD#: 128929

SAN MARCOS, TX

Current

August 14, 2025 - Present

GWN SECURITIES INC.

Office #1: 2200 Old Ranch Road Suite C, San Marcos, TX 78666

RIA

CRD#: 128929

SAN MARCOS, TX

Past

February 17, 2016 - August 5, 2025

CAPITAL ANALYSTS

RIA

CRD#: 162200

San Marcos, TX

Past

June 12, 2006 - August 5, 2025

LINCOLN INVESTMENT

RIA

CRD#: 519

San Marcos, TX

Past

June 12, 2006 - August 5, 2025

LINCOLN INVESTMENT

CRD#: 519

San Marcos, TX

Past

May 20, 2005 - June 12, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

AUSTIN, TX

Past

February 15, 2005 - June 12, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

AUSTIN, TX

Past

April 4, 2001 - May 19, 2005

PMG ASSET MANAGEMENT INC

RIA

CRD#: 110825

AUSTIN, TX

Past

August 1, 2000 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

October 7, 1997 - August 1, 2000

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

October 23, 1995 - October 16, 1997

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

February 27, 1995 - November 6, 1995

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

May 2, 1990 - January 24, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 25, 1990 - January 24, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 21, 1984 - April 25, 1990

UR FINANCIAL, INC.

CRD#: 10509

Past

August 10, 1977 - October 2, 1984

CITISTREET EQUITIES LLC

CRD#: 7447

Past

November 1, 1973 - August 26, 1977

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

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

Texas
(8/14/2025)

IAR

Texas
(8/14/2025)

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: 6/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/30/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1989

General Securities Principal 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

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

Heidee Salcedo

AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth W. Gutshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Wayne Gutshall's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Wayne Gutshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

GWN SECURITIES INC.

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

MM ASCEND LIFE INVESTOR SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG ASSET MANAGEMENT INC

PMG SECURITIES CORPORATION

INVESTORS BROKERAGE SERVICES, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

LINCOLN INVESTMENT

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

UR FINANCIAL, INC.

CITISTREET EQUITIES LLC

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1984

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/30/1973

Series 24

Date: 8/31/1989

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