MH
Mark M. Hoffman
GWN SECURITIES
PALM COAST, FL 32137
Some features on this profile are disabled
CRD#: 5538002
MH
Professional summary
Mark M Hoffman is a registered financial advisor currently at GWN SECURITIES INC. located in Palm Coast, Florida.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mark has worked at 3 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.
MARK M HOFFMAN UNDERDOG UNDERDOG LLC/PERSONAL /EIN POSITION: Individual owner of LLC NATURE: Personal LLC only INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/10/2020 ADDRESS: 17 Egret Dr, Palm Coast FL 32137, United States DESCRIPTION: Only for making contribution for 401k, Not related to any client or BD activity LIFE/HEALTH/ANNUITIES/FMO COMPANIES, MADISON/GRADIENT/PRECISION SENIOR MARKETING POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/28/2020 ADDRESS: 100 C Island Cottage Way, St Augustine FL 32080, United States DESCRIPTION: Helping client with insurance needs in conjunction with retirement planning. Life, Health, LTC, Disability. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2020-02-21,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Mark M Hoffman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark M Hoffman'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
February 24, 2020 - Present
GWN SECURITIES INC.
Office #1: 6 Meridian Home Lane Unit 201, Palm Coast, FL 32137RIA
BD
CRD#: 128929
PALM COAST, FL
Current
February 21, 2020 - Present
GWN SECURITIES INC.
Office #1: 6 Meridian Home Lane Unit 201, Palm Coast, FL 32137RIA
BD
CRD#: 128929
PALM COAST, FL
Past
February 21, 2020 - February 21, 2020
GWN SECURITIES INC.
RIA
CRD#: 128929
Palm Coast, FL
Past
November 8, 2016 - February 27, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
PALM COAST, FL
Past
November 8, 2016 - February 27, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PALM COAST, FL
Past
May 28, 2013 - November 8, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
GAITHERSBURG, MD
Past
January 22, 2010 - November 8, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
GAITHERSBURG, MD
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(2/21/2020)
RR
District of Columbia(2/21/2020)
RR
Florida(2/21/2020)
IAR
Florida(2/24/2020)
RR
Maryland(2/21/2020)
RR
Nevada(2/21/2020)
RR
South Carolina(2/21/2020)
RR
Texas(2/21/2020)
RR
Virginia(2/21/2020)
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.
