Anees M. Saifi

GWN SECURITIES

Hacienda Heights, CA

CRD#: 5890894

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Professional summary

Anees Mahmood Saifi, who also goes by Anees Saifi, Sean Saifi, is a registered financial advisor currently at GWN SECURITIES INC. located in Hacienda Heights, California.

Anees is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Anees has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anees Saifi | Sean Saifi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anees Mahmood Saifi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Anees Mahmood Saifi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 11, 2022 - Present

GWN SECURITIES INC.

RIA

CRD#: 128929

Hacienda Heights, CA

Current

May 10, 2022 - Present

GWN SECURITIES INC.

Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

RIA

CRD#: 128929

PALM BEACH GARDENS, FL

Past

May 4, 2020 - May 16, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Los Angeles, CA

Past

April 21, 2020 - May 16, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Los Angeles, CA

Past

March 19, 2012 - March 25, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LOS ANGELES, CA

Past

November 29, 2011 - March 25, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

LOS ANGELES, CA

Past

August 29, 2011 - November 17, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

LOS ANGELES, CA

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(4/9/2026)

California
(5/10/2022)

IAR

California
(5/11/2022)

Illinois
(5/10/2022)

New Jersey
(5/10/2022)

Texas
(5/10/2022)

Wyoming
(5/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/3/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWN FORM ADV BROCHURE (4/11/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Anees M. Saifi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anees Mahmood Saifi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anees Mahmood Saifi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GWN SECURITIES INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

GWN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2011

FINRA

Current Firm

GWN SECURITIES INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GWN SECURITIES INC.

TRUST BUT VERIFY

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