DH
Douglas K. Hervey
GWN SECURITIES
Gibsonia, PA
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CRD#: 244382
DH
Professional summary
Douglas Keith Hervey, who also goes by Doug Hervey, is a registered financial advisor currently at GWN SECURITIES INC. located in Gibsonia, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Douglas has worked at 11 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Hervey
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.
COBURN INSURANCE FOR LTC AND DI POLICIES. ISN NETWORK - INSURANCE BROKERAGE FIRM POSITION: BROKER FOR FIRM NATURE: INSURANCE BROKERAGE FIRM INVESTMENT RELATED: YES NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 06/30/2008 ADDRESS: ISN NETWORK, 1525 FARADAY AVE SUIT 140, CARLSBAD CA 92008 DESCRIPTION: KADES MARGOLIS REQUESTED THAT ALL REPRESENTATIVES CONTRACTED WITH KADES-MARGOLIS CORP START PLACING ALL LIFE, LONG TERM CARE, AND FIXED AND INDEX ANNUITIES THROUGH THIS INSURANCE BROKERAGE FIRM LOCTED IN SOUTHER CALIFORNIA SEVERAL YEARS AGO. KADES MARGOLIS, Is Investment Related, DBA, Financial Professional, 03/22/2004,160 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 Douglas Keith Hervey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Keith Hervey'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
March 23, 2011 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Gibsonia, PA
Current
May 18, 2009 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Gibsonia, PA
Past
January 12, 2007 - May 11, 2009
GWN SECURITIES INC.
RIA
CRD#: 128929
PITTSBURGH, PA
Past
February 4, 2004 - May 11, 2009
GWN SECURITIES INC.
BD
CRD#: 128929
PITTSBURGH, PA
Past
January 2, 2004 - March 10, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
July 13, 2001 - December 31, 2003
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
January 31, 1997 - July 16, 2001
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 10, 1995 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
March 17, 1993 - April 5, 1995
ALLEGHENY INVESTMENTS, LTD.
BD
CRD#: 7597
PITTSBURGH, PA
Past
August 28, 1991 - February 22, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
January 10, 1991 - August 29, 1991
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
September 18, 1989 - December 10, 1990
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 26, 1985 - September 14, 1989
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
June 19, 1984 - December 10, 1985
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
July 25, 1980 - June 29, 1984
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
January 11, 1971 - October 12, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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
Illinois(12/13/2021)
RR
Ohio(12/14/2021)
RR
Pennsylvania(5/18/2009)
IAR
Pennsylvania(3/23/2011)
RR
South Carolina(7/24/2017)
RR
Tennessee(12/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/4/1971
Registered Representative ExaminationSRO 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.
