HM
Henry I. Mondschein
GWN SECURITIES
Windsor Locks, CT 06096
Some features on this profile are disabled
CRD#: 4490759
HM
Professional summary
Henry Isaac Mondschein is a registered financial advisor currently at GWN SECURITIES INC. located in Windsor Locks, Connecticut.
Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Henry has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Offers disability insurance through the Guardian/Berkshire, Mass Mutual and AIB Insurance Brokers. Spends 10 hrs/mo during trading hours. Not investment related. BOARD MEMBER TEMPLE BETH ISRAEL PRESERVATION SOCIETY POSITION: Board Member NATURE: The 501 c(3) organization was originally created to maintain the synagogue on its current site. It became state and National Registered a few years ago and other than builiding maintenance, the mission is to archive the family histories of the members of the synagogue while being a resource for Holocaust education in Eastern Connecticut. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/31/2020 ADDRESS: 39 Killingly Dr, Danielson CT 06239, United States DESCRIPTION: I will be forwarding and uploading pictures with descriptions of my childhood. I will attend fundraisers and monthly meetings. CONNECT FINNACIAL GROUP LLC POSITION: Agent NATURE: DBA/Financial Services/Life Insurance and Annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 9/1/2022 ADDRESS: 30 Suffield St, Windsor Locks CT 06096, United States DESCRIPTION: Indexed Annuity and Life Products are more prevalent today. In the proper situation, I will recommend and sell these products to clients.. TRUE FREEDOM HOME CARE PLANS POSITION: Agent NATURE: Long Term Care home care hours plan. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/12/2021 ADDRESS: 30 Suffield St, Windsor Locks CT 06096, United States DESCRIPTION: I will look up a rate sheet and then show it to the client, but only after Long Term Care insurance is not an option. If they want it, I will complete the paperwork and have them submit payment for the service.
CRS (Client Relationship Summary) - RIA
Click below to view Henry Isaac Mondschein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Henry Isaac Mondschein'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
December 11, 2020 - Present
GWN SECURITIES INC.
Office #1: 30 Suffield Street, Windsor Locks, CT 06096RIA
BD
CRD#: 128929
Windsor Locks, CT
Current
August 1, 2019 - Present
GWN SECURITIES INC.
Office #1: 30 Suffield Street, Windsor Locks, CT 06096RIA
BD
CRD#: 128929
Windsor Locks, CT
Past
September 7, 2017 - July 31, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
Windsor Locks, CT
Past
January 20, 2015 - August 10, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
LONGMEADOW, MA
Past
March 12, 2012 - January 14, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOLYOKE, MA
Past
April 6, 2009 - March 5, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WEST HARTFORD, CT
Past
February 13, 2007 - September 4, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
WEST HARTFORD, CT
Past
February 11, 2002 - February 13, 2007
WEBSTER INVESTMENT SERVICES, INC.
BD
CRD#: 46588
WEST HARTFORD, CT
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(1/5/2024)
RR
Connecticut(8/1/2019)
IAR
Connecticut(12/11/2020)
RR
Florida(1/4/2021)
RR
Massachusetts(8/1/2019)
RR
New York(5/24/2023)
RR
Pennsylvania(12/9/2022)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
