KG
Kathie J. Gallagher
GWN SECURITIES
Auburn, CA
Some features on this profile are disabled
CRD#: 5013513
KG
Professional summary
Kathie Jeanne Gallagher, who also goes by Kathie Jeanne Dorgan, Jeanne Gallagher, is a registered financial advisor currently at GWN SECURITIES INC. located in Auburn, California.
Kathie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kathie has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathie Jeanne Dorgan | Jeanne Gallagher
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.
* Insurance licensed for Life, Health (LTC and VA), Property and Casualty. Property and Casualty lic heard with Stratton Agency; 1380 Lead Hill Blvd Ste 210, Roseville CA 95661. * Seaside Solutions; DBA and address same as branch; * Lease on Love; same as branch; non-inv rel EPICPRO FINANCIAL MANAGEMENT POSITION: representative NATURE: Providing life insurance, FIA, LTC and LTD where appropriate INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2020 ADDRESS: 115 Martindale Ln, Auburn CA 95603, United States DESCRIPTION: Epic Pro Financial Management is responsiblefor processing compensation for life insurance products, including term life, FIA, disability and LTC SMARTVESTOR PRO MARKETING PROGRAM PARTICIPANT POSITION: no position with SVP NATURE: Lead Generation program, I receive leads from the program INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 09/01/2014 ADDRESS: 115 Martindale Ln, Auburn CA 95603, United States DESCRIPTION: Lead generation program. Received leads, call to introduce self and set appt. Review client financial situation, determine needs for insurance and investments and implement appropriate programs. DISCOVER RISING TIDES POSITION: Sponsor/ Co-host/ Organizer NATURE: Co-host radio/podcast on non-financial discussions. Challenges and successes of business starts and continued success. Supporting a platform for personal and professional growth through events co sponsored with coaches and yoga teachers. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/14/2021 ADDRESS: 115 Martindale Ln, Auburn CA 95603, United States DESCRIPTION: Co-host radio/podcast on non-financial discussions. Challenges and successes of business starts and continued success.Supporting a platform for personal and professional growth through events co sponsored with coaches and yoga teachers. SEASIDE SOLUTIONS, Is Investment Related, DBA, Financial Professional 08/25/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. DIRIGO SEASIDE WANDERER, INC Is Not Investment Related, Corporation for business, President, 2020-03-09, 200 hours per month, 200 hours per month during trading hours, No Compensation Compensation, "Corporation set up for current business, DBA Seaside Solutions." ENTRUST BUSINESS SOLUTIONS INVESTMENT RELATED: Is Not Investment Related, ADDRESS: POB 630431, Highland Ranch, CO, 80163, United States", Will and Trust Preparation Service, Referral Agent, 7/1/2025, 4 hours per month, 4 hours per month during trading hours, DESCRIPTION: I am a referral agent for the company. I am only paid a referral fee the referral engages the services to Entrust assisting preparation a Will and Trust. Compensation will be paid through our insurance brokerage EPICPRo Financial Management.
CRS (Client Relationship Summary) - RIA
Click below to view Kathie Jeanne Gallagher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathie Jeanne Gallagher'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
August 26, 2019 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Auburn, CA
Current
August 25, 2019 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Auburn, CA
Past
June 21, 2017 - August 29, 2019
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Auburn, CA
Past
June 21, 2017 - August 29, 2019
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Auburn, CA
Past
May 12, 2016 - June 23, 2017
CAPITAL CHOICE INVESTMENT ADVISERS, INC.
RIA
CRD#: 145932
Arroyo Grande, CA
Past
June 2, 2014 - June 21, 2017
CCF INVESTMENTS, INC.
BD
CRD#: 136571
Arroyo Grande, CA
Past
November 1, 2012 - May 28, 2014
PFS INVESTMENTS INC.
RIA
CRD#: 10111
ORANGE CITY, FL
Past
September 23, 2005 - May 28, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
ORANGE CITY, FL
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
Alabama(9/20/2024)
RR
Arizona(8/25/2019)
RR
Arkansas(3/16/2022)
RR
California(8/25/2019)
IAR
California(8/26/2019)
RR
Florida(8/25/2019)
RR
Georgia(2/10/2021)
RR
Idaho(9/11/2023)
RR
Illinois(3/9/2023)
RR
Kentucky(8/26/2021)
RR
Maine(8/15/2023)
RR
Missouri(9/11/2023)
RR
Montana(12/9/2020)
RR
Nevada(8/25/2019)
RR
New York(9/16/2025)
RR
North Carolina(10/24/2024)
RR
Oregon(8/25/2019)
RR
Pennsylvania(1/9/2020)
RR
Tennessee(3/16/2021)
RR
Texas(8/25/2019)
RR
Utah(1/3/2022)
RR
Virginia(8/25/2019)
RR
Washington(2/16/2021)
RR
Wyoming(1/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
