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BR

Brock M Rowlett

GWN SECURITIES
OWASSO, OK
·CRD# 4407834·25 years experience

Professional Summary

Brock M Rowlett, who also goes by Brock M Rowlett, is a registered financial advisor currently at GWN SECURITIES INC. located in Owasso, Oklahoma. Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brock has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brock M Rowlett

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

GWN SECURITIES INC.·CRD# 128929
RIA
BD
14501 E. 89th St. N., Owasso, OK 74055
June 2, 2022 - Present
GWN SECURITIES INC.·CRD# 128929
RIA
BD
14501 E. 89th St. N., Owasso, OK 74055
January 2, 2013 - Present
GWN SECURITIES INC.·CRD# 128929
RIA
Palm Beach Gardens, FL
January 2, 2013 - January 4, 2022
LEGEND ADVISORY, LLC·CRD# 104761
RIA
Catoosa, OK
November 15, 2004 - January 2, 2013
LEGEND ADVISORY, LLC·CRD# 104761
RIA
Catoosa, OK
June 9, 2003 - August 28, 2003
LEGEND EQUITIES CORPORATION·CRD# 30999
BD
Catoosa, OK
June 4, 2003 - January 2, 2013
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Tulsa, OK
March 19, 2002 - June 4, 2003
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
July 26, 2001 - June 4, 2003

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

707

SEC 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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/13/2026)

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
NEITZEL, CARL ALEXANDERCOO3044454
RITTMAN, BARRY RICHARDCFO FINOP PFO VP1997994
WALSH, DENIS STEPHENCEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT1124278
WALSH, MARY THERESESECRETARY2829444

Regulatory Assets Under Management

Total Number of Accounts

66,025

AUM (Assets Under Management)

$4,753,625,856

Disclosures

Regulatory Event

2

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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.

MISC LIFE, HEALTH AND ANNUITIES - LIST ON FILE, TIME 10% AND INCOME 10% AMERICAN FIDELITY POSITION: REP NATURE: TRAILING COMMISSIONS INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2010 ADDRESS: PO BOX 550, CATOOSA OK 74015 DESCRIPTION: THIS IS ONLY FOR OLD INSURANCE BUSINESS THAT AMERICA FIDELITY PAYS US FOR INSURANCE POSITION: AGENT NATURE: WHEN THE NEED ARISES AND CLIENTS NEEDS LIFE INSURANCE I SELL IT TO THEM INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 01/06/2006 ADDRESS: PO BOX 550, CATOOSA OK 74015 DESCRIPTION: LIFE INSURANCE FOR CLIENTS LONG TERM CARE POSITION: AGENT NATURE: LONG TERM CARE INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 01/06/2006 ADDRESS: PO BOX 550, CATOOSA OK 74015 DESCRIPTION: CLIENTS WHO NEED LONG TERM CARE I SELL IT TO THEM Focus Financial, Is Investment Related, Securities DBA, Financial Professional, 2013-01-02, 160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA BROCK ROWLETT, INC Is Not Investment Related, "PO box 7, 1401 E. 89th St. N, Owasso, OK, 74055, United States", sales, President, 2005-04-01, 1 hours per month, 0 hours per month during trading hours, No Compensation Compensation, A corporation I use to pay employees who assist in my work at the office FOCUS REAL ESTATE, LLC Is Not Investment Related, "PO box 7, 1401 E. 89th St. N, Owasso, OK, 74055, United States", Real Estate, Co Owner, 2021-03-01, 1 hours per month,0 hours per month during trading hours, No Compensation Compensation, Maintain office OWASO VARSITY CHEER Is Not Investment Related, "12900 E 86th St N, Owasso, OK 74055, Owasso, OK, 74055, United States", To oversee the executive board, Board of trustees, 10/28/2025, 1 hours per month, 0 hours per month during trading hours, No Compensation Compensation DESCRIPTION: "As a Trustee of the Owasso Varsity Cheer Booster Club, I serve in a volunteer leadership role on the board of this 501(c)
(3) parent-led organization. Responsibilities include attending monthly board meetings, reviewing and approving the annual budget and fundraising plans, ensuring compliance with club bylaws and financial policies, and providing oversight for expenditures that support the Owasso High School varsity cheer program (e.g., uniforms, competition fees, and team travel). The role involves no compensation, no outside business interests, and no client-facing or investment-related activities."

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(1/8/2026)
RR
Arizona
(12/23/2014)
RR
Arkansas
(1/8/2026)
RR
Colorado
(1/2/2013)
RR
Florida
(1/8/2026)
RR
Georgia
(1/3/2017)
RR
Kansas
(1/2/2013)
RR
Kentucky
(1/8/2026)
RR
Louisiana
(1/8/2026)
RR
Mississippi
(1/8/2026)
RR
Missouri
(1/2/2013)
RR
Nebraska
(1/8/2026)
RR
Nevada
(10/3/2014)
RR
North Carolina
(11/4/2015)
RR
Ohio
(11/5/2021)
RR
Oklahoma
(6/2/2022)
IAR
Oklahoma
(6/2/2022)
RR
South Carolina
(1/8/2026)
RR
Tennessee
(1/8/2026)
RR
Texas
(1/8/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2001About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Sep 2001About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jul 2001About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Brock M Rowlett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brock M Rowlett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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BR
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