SD
Stephen M. Derosa
GWN SECURITIES
Watchung, NJ
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CRD#: 5310914
SD
Professional summary
Stephen Michael Derosa is a registered financial advisor currently at GWN SECURITIES INC. located in Watchung, New Jersey.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
MADISON BROKERAGE POSITION: Producer NATURE: Life insurance, long-term care insurance and non-variable annuity platforms. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 65 Madison Ave, #200, Morristown NJ 07960 DESCRIPTION: To use Madison as one brokerage option that can help me find appropriate fits for clients regarding annuities (non-variable), life insurance and-or long-term care insurance. JOST FINANCIAL POSITION: Vice President NATURE: Registered Investment Advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2015 ADDRESS: 7 Red Bud ln, Green Brook NJ 08812 DESCRIPTION: Financial Advisor, marketing, building and maintaining client relationships. RENTAL PROPERTY POSITION: n-a NATURE: Rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/11/2015 ADDRESS: 1600 Broadway, New York NY 10019 DESCRIPTION: Help with online advertising, respond to questions about the rental via phone or email and help faciltate the rental process as needed. GRADIENT INSURANCE BROKERAGE AGENT REFERRAL PROGRAM POSITION: Referring Agent NATURE: To refer other licensed agents to Gradient Insurance Brokerage. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2017 ADDRESS: 4105 Lexington ave. N., Suite 360, Arden Hills MN 55126, United States DESCRIPTION: My duties would be to let people know about Gradient Insurance Brokerage to see if they would want to contact them to learn more about using them in their own practice.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Derosa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Derosa'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
November 17, 2014 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Watchung, NJ
Current
November 14, 2014 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Watchung, NJ
Past
May 2, 2014 - December 31, 2016
JOST FINANCIAL MANAGEMENT CORP.
RIA
CRD#: 117894
GREEN BROOK, NJ
Past
April 23, 2014 - December 10, 2014
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
WARREN, NJ
Past
October 16, 2013 - December 10, 2014
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
WARREN, NJ
Past
April 30, 2007 - August 2, 2013
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EDISON, NJ
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
California(5/1/2015)
RR
Colorado(4/13/2020)
RR
District of Columbia(5/1/2015)
RR
Minnesota(3/23/2017)
RR
New Jersey(11/14/2014)
IAR
New Jersey(11/17/2014)
RR
New York(11/14/2014)
RR
Pennsylvania(11/14/2014)
RR
Virginia(5/1/2015)
Exams
State Security Law Exam
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.
