CP
Carter W. Potts
GWN SECURITIES
Lawrenceville, GA 30043
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CRD#: 4583372
CP
Professional summary
Carter W Potts, CFP® is a registered financial advisor currently at GWN SECURITIES INC. located in Lawrenceville, Georgia.
Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Carter has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 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.
Appointed with Insurancehub to sell all lines of insurance, life, annuity, health, LTC and property/casualty during normal market hours at the branch location. IH FINANCIAL, LLC POSITION: Financial Professional NATURE: DBA, INVESTMENT RELATED: Is Investment Related, START DATE: 2020-04-16, HOURS PER MONTH: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation, DESCRIPTION: "Financial Professional, DBA" ALDEN POTTS REAL ESTATE LLC; ORGANIZER; NOT INVESTMENT RELATED; 0 HOURS PER MONTH; 0 HOURS PER MONTH TRADING; START DATE: 01/01/2020; ADDRESS: 16 CHATHAM RD ATLANTA, GA 30305. DO & CP, LLC Is Not Investment Related, ADDRESS: 2402 Tech Center Parkway, Lawrenceville, GA, 30043, United States", NATURE: Manufactoring, POSITION: Organizer, START DATE: 5/20/2025,0 hours per month,0 hours per month during trading hours, Other Compensation, DESCRIPTION: Forming an LLC to personally invest money into a manufacturing business. The only compensation would be from business profits.
CRS (Client Relationship Summary) - RIA
Click below to view Carter W Potts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carter W Potts'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®
CFP®
Start date: 2007
Experience
Current
July 1, 2020 - Present
GWN SECURITIES INC.
Office #1: 1720 Lakes Parkway, Lawrenceville, GA 30043RIA
BD
CRD#: 128929
Lawrenceville, GA
Current
June 30, 2020 - Present
GWN SECURITIES INC.
Office #1: 1720 Lakes Parkway, Lawrenceville, GA 30043RIA
BD
CRD#: 128929
Lawrenceville, GA
Past
August 1, 2008 - July 1, 2020
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
Lawrenceville, GA
Past
February 26, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
DULUTH, GA
Past
March 8, 2005 - July 1, 2020
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
Lawrenceville, GA
Past
May 13, 2003 - March 2, 2005
PEACHTREE PLANNING CORPORATION
RIA
CRD#: 112787
ATLANTA, GA
Past
January 7, 2003 - February 23, 2005
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, 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
Florida(6/30/2020)
RR
Georgia(6/30/2020)
IAR
Georgia(7/1/2020)
RR
Iowa(7/2/2020)
RR
Mississippi(10/11/2021)
RR
Texas(6/30/2020)
Exams
State Security Law Exam
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)
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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.
