Jeffrey D. Feld
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey David Feld was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2017 - December 21, 2017
GWN SECURITIES INC.
March 13, 2017 - December 21, 2017
GWN SECURITIES INC.
March 19, 2015 - March 31, 2017
EQUITABLE ADVISORS, LLC
March 16, 2015 - March 31, 2017
EQUITABLE ADVISORS, LLC
August 24, 2010 - January 27, 2015
EQUITABLE ADVISORS, LLC
August 17, 2010 - January 27, 2015
EQUITABLE ADVISORS, LLC
May 5, 2009 - August 24, 2010
VALIC FINANCIAL ADVISORS, INC.
March 25, 2008 - August 24, 2010
VALIC FINANCIAL ADVISORS, INC.
November 10, 2005 - April 7, 2008
NEXT FINANCIAL GROUP, INC.
August 30, 2001 - November 16, 2005
VALIC FINANCIAL ADVISORS, INC.
August 30, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
August 30, 2001 - November 16, 2005
VALIC FINANCIAL ADVISORS, INC.
September 22, 2000 - August 28, 2001
SUMMIT BROKERAGE SERVICES, INC.
August 30, 2000 - October 3, 2000
IDS LIFE INSURANCE COMPANY
August 30, 2000 - October 3, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
Contact information
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.
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