BR
Brock M. Rowlett
GWN SECURITIES
Owasso, OK 74055
Some features on this profile are disabled
CRD#: 4407834
BR
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brock M Rowlett
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."
CRS (Client Relationship Summary) - RIA
Click below to view Brock M Rowlett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brock M Rowlett'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
June 2, 2022 - Present
GWN SECURITIES INC.
Office #1: 14501 E. 89th St. N., Owasso, OK 74055RIA
BD
CRD#: 128929
Owasso, OK
Current
January 2, 2013 - Present
GWN SECURITIES INC.
Office #1: 14501 E. 89th St. N., Owasso, OK 74055RIA
BD
CRD#: 128929
Owasso, OK
Past
January 2, 2013 - January 4, 2022
GWN SECURITIES INC.
RIA
CRD#: 128929
PALM BEACH GARDENS, FL
Past
November 15, 2004 - January 2, 2013
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
CATOOSA, OK
Past
June 9, 2003 - August 28, 2003
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
CATOOSA, OK
Past
June 4, 2003 - January 2, 2013
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
CATOOSA, OK
Past
March 19, 2002 - June 4, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
TULSA, OK
Past
July 26, 2001 - June 4, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(12/23/2014)
RR
Colorado(1/2/2013)
RR
Georgia(1/3/2017)
RR
Kansas(1/2/2013)
RR
Missouri(1/2/2013)
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)
Exams
State Security Law Exam
General Industry/Product 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.
Company Information
GWN SECURITIES INC.
CRD#: 128929Owasso, OK 74055TRUST BUT VERIFY
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