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AH

Amy D. Haupert

GWN SECURITIES
INDIANAPOLIS, IN 46203
Some features on this profile are disabled
CRD#: 2757525
AH

Professional summary

Amy D Haupert, who also goes by Amy Haupert, Amy Diane Haupertjarvis, Amy Diane Jarvis, is a registered financial professional currently at GWN SECURITIES INC. located in Indianapolis, Indiana.

Amy is registered as a RR (Registered Representative) and started their career in finance in 1997. Amy has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Haupert | Amy Diane Haupertjarvis | Amy Diane Jarvis

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 Amy D Haupert'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 15, 2008 - Present

GWN SECURITIES INC.

Office #1: 1525 S. Shelby St., Indianapolis, IN 46203
RIA
BD
CRD#: 128929
INDIANAPOLIS, IN
Past

August 13, 2008 - August 19, 2008

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 22, 2004 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

BD
CRD#: 14068
INDIANAPOLIS, IN
Past

July 21, 1997 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

July 21, 1997 - July 1, 2004

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

February 20, 1997 - July 14, 1997

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Past

February 18, 1997 - July 14, 1997

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN

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.

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
Indiana
(8/15/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/14/1997
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
WORLD INVESTMENT NETWORKOWNER
BORNHEIMER, LAURA JEANETTEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP1769643
CORBIN, BRAD JEFFREYSENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING1754065
RITTMAN, BARRY RICHARDCFO FINOP VP1997994
WALSH, DENIS STEPHENCEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT1124278
WALSH, MARY THERESESECRETARY2829444

Regulatory assets under management

Total Number of Accounts64,207
AUM (Assets Under Management)$ 3,650,274,405

Disclosures

Regulatory Event2

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.

Company Information

GWN SECURITIES INC.

CRD#: 128929Indianapolis, IN 46203

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