PS
Paul A. Siock
GWN SECURITIES
LANSDALE, PA
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CRD#: 5558458
PS
Professional summary
Paul Albert Siock, who also goes by Paul Albert Siock III, is a registered financial advisor currently at GWN SECURITIES INC. located in Lansdale, Pennsylvania.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Paul has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Albert Siock Iii
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.
LIFE AND HEALTH INSURANCE POSITION: Financial Advisor NATURE: Life Insurance and Fixed Annuity sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2016 ADDRESS: 65 Madison Ave., Suite 200, Morristown NJ 07960 DESCRIPTION: Life Insurance: Provide life insurance quotes and complete life insurance applications with clients. Fixed Annuity: Provide current fixed annuity specifics to clients as an option for their investment portfolio. THE SWR GROUP, Is Investment Related, "1028 US Highway 206 S, Unit 2, Bordentown, NJ, 08505, United States", "Retirement, Investment, Retirement Planning", "Financial Advisor of GWN Securities, Inc.", 8/1/2023, 160 hours per month, 1 hours per month during trading hours, Commission Compensation, "Meet with prospects to assist with retirement planning, focusing mainly on NJ Public School Employees."
CRS (Client Relationship Summary) - RIA
Click below to view Paul Albert Siock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Albert Siock'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
January 13, 2016 - Present
GWN SECURITIES INC.
Office #2: 1028 Us Highway 206 S Unit 2, Bordentown, NJ 08505RIA
BD
CRD#: 128929
LANSDALE, PA
Current
January 13, 2016 - Present
GWN SECURITIES INC.
Office #1: 1028 Us Highway 206 S Unit 2, Bordentown, NJ 08505RIA
BD
CRD#: 128929
BORDENTOWN, NJ
Past
March 27, 2013 - January 11, 2016
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHALFONT, PA
Past
September 13, 2012 - January 11, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHALFONT, PA
Past
February 7, 2011 - September 11, 2012
M&T SECURITIES, INC.
BD
CRD#: 17358
MEDIA, PA
Past
September 15, 2008 - January 14, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BERWYN, PA
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(10/26/2020)
RR
New Jersey(1/13/2016)
RR
New York(1/17/2019)
RR
Pennsylvania(1/13/2016)
IAR
Pennsylvania(1/13/2016)
RR
South Carolina(1/25/2019)
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.
