Roy Ryutaro Nishimura
Professional Summary
Roy Ryutaro Nishimura is a registered financial advisor currently at GWN SECURITIES INC. located in Honolulu, Hawaii. Roy is registered as a RR (Registered Representative) and started their career in finance in 2000. Roy has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Disclosures on record.
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
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Current Firm
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
Contact Information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Phone Number
(561) 472-2700Established
Florida since 05/12/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
707SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
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 |
| NEITZEL, CARL ALEXANDER | COO | 3044454 |
| RITTMAN, BARRY RICHARD | CFO FINOP PFO 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
66,025AUM (Assets Under Management)
$4,753,625,856Disclosures
Regulatory Event
2Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
State Registrations and Notice Filings
(3/1/2007)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2000About the Series 6 examSRO Registrations
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Roy Ryutaro Nishimura's CRS (Customer Relationship Summary).
Similar Advisors
INDEPENDENT FINANCIAL GROUP, LLC
EQUITABLE ADVISORS, LLC