RG
Rodger T. Guerra
GWN SECURITIES
Burlington, NJ
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CRD#: 2450663
RG
Professional summary
Rodger Thomas Guerra is a registered financial advisor currently at GWN SECURITIES INC. located in Burlington, New Jersey.
Rodger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rodger has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/05/2016; APX NUMBER OF HOURS PER WEEK: 18 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2018-07-13,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment and Advisory Sales 3. NAME OF OTHER BUSINESS: IAABO Camden Board 34 INVESTMENT RELATED: NO; ADDRESS: 9 Schmidts Place, Secaucus, NJ 07094 NATURE OF BUSINESS: BASKETBALL; START DATE: 10/1/2024 POSITION/TITLE/RELATIONSHIP: Basketball Referee NUMBER OF HOURS PER WEEK: 24 NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Referee basketball games in Burlington and Camden County NJ at the JV High school level and lower. Compensation is based on a per game basis. Number of games will be based on how many I choose to schedule. Training/certification will begin in October 2024
CRS (Client Relationship Summary) - RIA
Click below to view Rodger Thomas Guerra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rodger Thomas Guerra'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
July 13, 2018 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Burlington, NJ
Current
July 13, 2018 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Burlington, NJ
Past
October 3, 2016 - July 21, 2018
CETERA ADVISORS LLC
RIA
CRD#: 10299
MARLTON, NJ
Past
October 3, 2016 - July 21, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
MARLTON, NJ
Past
July 24, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
MARLTON, NJ
Past
March 29, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
MARLTON, NJ
Past
January 1, 2004 - March 11, 2005
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 30, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
December 18, 2000 - May 1, 2003
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
October 4, 2000 - December 14, 2000
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
February 15, 1994 - March 22, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 15, 1994 - March 22, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Florida(10/12/2022)
RR
New Jersey(7/13/2018)
IAR
New Jersey(7/13/2018)
RR
Pennsylvania(7/13/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
