RG
Richard A. Gutshall
GWN SECURITIES
AUSTIN, TX
Some features on this profile are disabled
CRD#: 2888433
RG
Professional summary
Richard Allen Gutshall, who also goes by Rick Allen Gutshall, is a registered financial advisor currently at GWN SECURITIES INC. located in Austin, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Allen 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.
LIFE BROKERAGE POSITION: SALES NATURE: TERM LIFE INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 01/01/1999 ADDRESS: 13644 BRETON RIDGE STE B, HOUSTON TX 77070 DESCRIPTION: I USE THIS COMANY TO RUN ILLUSTRATIONS FOR TERM LIFE INSURANCE AND LTC ILLUSTRATIONS FOR THE PURPOSE OF SALES RCNH, INC. POSITION: I AM AN INDEPENDENT REPRESENTATIVE. NATURE: METALS AND COINS INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/14/2014 ADDRESS: PEOPLES UNITED BANK BUILDING, 28 JONES ROAD #1, MILFORD NH 03055 DESCRIPTION: NONE COASTAL ARMOR POSITION: Managing Partner NATURE: Protection INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/25/2018 ADDRESS: 7716 Orisha Drive, Austin TX 78739, United States DESCRIPTION: Start Up company RA WEALTH MANAGEMENT, LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/09/2018 ADDRESS: 7716 Orisha Drive, Austin TX 78739, United States DESCRIPTION: Holding LLC with no current plan of action R GUTSHALL INC POSITION: manager NATURE: holding company - Tax/Accounting Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/07/2024 ADDRESS: 7716 Orisha Dr, Austin TX 78739, United States DESCRIPTION: I am running company expenses through this entity. PASSTHROUGH HOLDING COMPANY TO HOLD COMPANY ASSETS THAT DO NOT GO TO PAY CYCLES THROUGH R GUTSHALL MANAGEMENT CORP R GUTSHALL MANAGEMENT CORP POSITION: manager, general partner NATURE: holding company - Tax/Accounting Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/07/2024 ADDRESS: 7716 Orisha Dr, Austin TX 78739, United States DESCRIPTION: manager duties. This company will pay future hires - assistants, planners and others. I hired a group to run payroll and pay taxes for the future hires KW GUTSHALL & ASSOCIATES Is Investment Related, "2200 Old Ranch Road 12 STE C, San Marcos, TX, 78666, United States", Investment Advisor Rep, Independent contractor, 10/1/1999, 200 hours per month, 136 hours per month during trading hours, Commission Compensation, "Provides personalized investment, retirement, and financial planning advice to clients."
CRS (Client Relationship Summary) - RIA
Click below to view Richard Allen Gutshall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Allen Gutshall'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
May 1, 2025 - Present
GWN SECURITIES INC.
Office #2: 2200 Old Ranch Road Suite C, San Marcos, TX 78666RIA
BD
CRD#: 128929
AUSTIN, TX
Current
May 1, 2025 - Present
GWN SECURITIES INC.
Office #1: 2200 Old Ranch Road Suite C, San Marcos, TX 78666RIA
BD
CRD#: 128929
SAN MARCOS, TX
Past
May 8, 2015 - May 1, 2025
CAPITAL ANALYSTS
RIA
CRD#: 162200
AUSTIN, TX
Past
June 12, 2006 - May 1, 2025
LINCOLN INVESTMENT
RIA
CRD#: 519
San Marcos, TX
Past
June 12, 2006 - May 1, 2025
LINCOLN INVESTMENT
BD
CRD#: 519
San Marcos, TX
Past
May 20, 2005 - June 12, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
CINCINNATI, OH
Past
February 15, 2005 - June 12, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
April 1, 2001 - May 19, 2005
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
AUSTIN, TX
Past
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
August 26, 1999 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
June 6, 1997 - June 23, 1999
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Arizona(5/1/2025)
RR
California(5/1/2025)
RR
Colorado(5/1/2025)
RR
Florida(5/1/2025)
RR
Louisiana(5/1/2025)
RR
New Hampshire(7/11/2025)
RR
New Jersey(5/1/2025)
RR
Ohio(5/1/2025)
RR
Tennessee(5/1/2025)
RR
Texas(5/1/2025)
IAR
Texas(5/1/2025)
RR
Virginia(5/1/2025)
RR
Washington(11/12/2025)
RR
Wisconsin(10/6/2025)
Exams
State Security Law 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.
