JM
James C. Maloney
GWN SECURITIES
Hauppauge, NY 11788
Some features on this profile are disabled
CRD#: 5867258
JM
Professional summary
James C Maloney, who also goes by James Maloney, is a registered financial advisor currently at GWN SECURITIES INC. located in Hauppauge, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Maloney
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.
AFLAC, NON INVESTMENT RELATED, 1300 VETERANS MEMORIAL HWY, HAUPPAUGE NY 11788, SUPPLIMENTAL BENEFITS, AGENT, 10/2010, 10 HRS, ENROLL CLIENTS TO SUPPLIMENTAL BENEFITS. THE MORTGAGE CAPITAL GROUP, NON INVESTMENT RELATED, MONTAUK HWY, BAYPORT NY 11705, LOAN OFFICER FOR MORTGAGE COMPANY, 12/2010, 10HRS. ARRANGE RESIDENTAIL MORTGAGE FINANCING FOR CLIENTS LIFE INSURANCE POSITION: AGENT NATURE: LIFE INSURANCE INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 1 START DATE: 01/01/2013 ADDRESS: 1300 VETERANS MEMORIAL HIGHWAY, HAUPPAUGE NY 11788 DESCRIPTION: ARRANGE LIFE INSURANCE FOR CLIENTS RENTAL HOME POSITION: OWNER NATURE: BEING A LANDLORD INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 0 START DATE: 06/01/1999 ADDRESS: 28 E 24TH ST, HUNTINGTON STATION NY 11746 DESCRIPTION: FIX PROBLEMS WITH THE HOSUE AS THEY POP UP, LOOK FOR NEW TENANTS. HOME OWNERS ASSOCIATION POSITION: PRESIDENT NATURE: HOME OWNERS ASSOCIATION INVESTMENT RELATED: NO NUMBER OF HOURS: 5 INVESTMENT RELATED HOURS: 1 START DATE: 03/01/2014 ADDRESS: SSBOA, NORTHPORT NY 11768 DESCRIPTION: AS THE PRESIDENT OF OUR HOME OWNERS ASSOCIATION I DELAGATE TASKS TO OTHER BOARD MEMEBERS AND ORCHESTRATE THE QUARTERLY MEETINGS. THESE MEETINGS ARE HELD IN THE EVENING OR ON WEEKENDS. BOARD OF EDUCATION POSITION: TRUSTEE NATURE: VOLUNTEER,COMMUNITY ORGANIZATION INVESTMENT RELATED: NO NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 5 START DATE: 07/02/2012 ADDRESS: LAUREL AVE, NORTHPORT NY 11768 DESCRIPTION: AS TRUSTEES WE SUPERVISE THE SUPERINTENDANT OF THE SCHOOL DISRTICT. SALMON LIMOUISINE POSITION: Driver NATURE: Driver of Limousine INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/25/2015 ADDRESS: 3 Gannet Ct, Commack NY 11725 DESCRIPTION: Driving people back and forth to the airport during non working hours THE MORTGAGE CAPITAL GROUP POSITION: Loan Officer NATURE: Residential Mortgage Financing INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/28/2017 ADDRESS: 982 Montauk Highway, Ste 3, Bayport NY 11705, United States DESCRIPTION: My job duties are to orginate purchase and refinance mortgage financing applications, collect the proper documentation and answer questions of the person in need of financing. SENIOR SERVICES OF NORTH AMERICA POSITION: Agent NATURE: Supply insurance to seniors INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/15/2018 ADDRESS: 25 Melville Park Dr, Melville NY 11747, United States DESCRIPTION: Help Seniors find suitable health coverage to compliment their medicare benefits. Educated and enroll seniors in health coverage CGAA, Inc., Is Investment Related, DBA, Financial Professional, 02/04/2011,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. CAMELOT LIMO INVESTMENT RELATED: Is Not Investment Related, ADDRESS: 31 Central Dr, , Farmingdale, NY, 11735, United States", NATURE: Transportation, POSITION: Driver, START DATE: 8/31/2024, NUMBER OF HOURS: 20 hours per month, SECURITIES TRADING HOURS: 0 hours per month during trading hours, DESCRIPTION: Per Job- Depends on Job done- could be hourly or could be flat fee
CRS (Client Relationship Summary) - RIA
Click below to view James C Maloney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James C Maloney'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
March 31, 2021 - Present
GWN SECURITIES INC.
Office #1: 1300 Veterans Highway Suite 210, Hauppauge, NY 11788RIA
BD
CRD#: 128929
Hauppauge, NY
Current
February 4, 2011 - Present
GWN SECURITIES INC.
Office #1: 1300 Veterans Highway Suite 210, Hauppauge, NY 11788RIA
BD
CRD#: 128929
Hauppauge, 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
New York(2/5/2011)
IAR
New York(3/31/2021)
Exams
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.
